# EDGAR Filing Document

**Accession Number:** 0000320017
**File Stem:** 0000320017-25-000048
**Filing Date:** 2025-7
**Character Count:** 17733
**Document Hash:** 4b71827207b51392aeef0a505a39fd41
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000320017-25-000048.hdr.sgml**: 20250715

**ACCESSION NUMBER**: 0000320017-25-000048

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 17

**CONFORMED PERIOD OF REPORT**: 20250715

**ITEM INFORMATION**: Other Events

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20250715

**DATE AS OF CHANGE**: 20250715

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** LISATA THERAPEUTICS, INC.
- **CENTRAL INDEX KEY:** 0000320017
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **ORGANIZATION NAME:** 03 Life Sciences
- **EIN:** 222343568
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-33650
- **FILM NUMBER:** 251123130

**BUSINESS ADDRESS:**
- **STREET 1:** 110 ALLEN ROAD
- **STREET 2:** SECOND FLOOR
- **CITY:** BASKING RIDGE
- **STATE:** NJ
- **ZIP:** 07920
- **BUSINESS PHONE:** 908-229-2590

**MAIL ADDRESS:**
- **STREET 1:** 110 ALLEN ROAD
- **STREET 2:** SECOND FLOOR
- **CITY:** BASKING RIDGE
- **STATE:** NJ
- **ZIP:** 07920

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** CALADRIUS BIOSCIENCES, INC.
- **DATE OF NAME CHANGE:** 20170808

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Caladrius Biosciences, Inc.
- **DATE OF NAME CHANGE:** 20150608

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** NeoStem, Inc.
- **DATE OF NAME CHANGE:** 20060906

?xml version='1.0' encoding='ASCII'? clbs-20250715

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

**FORM 8-K**

**CURRENT REPORT**

**Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934**

**July 15, 2025** 

Date of Report (date of earliest event reported)

**LISATA THERAPEUTICS, INC.** 

**(Exact name of registrant as specified in its charter)**

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| | | |
|:---|:---|:---|
| **Delaware** | **001-33650** | **22-2343568** |
| (State or other jurisdiction of incorporation or organization) | (Commission File Number) | (I.R.S. Employer Identification No.) |

---

**110 Allen Road, Second Floor, Basking Ridge, NJ 07920**

**(Address of Principal Executive Offices)(ZipCode)**

**(908) 842-0100** 

Registrant's telephone number, including area code

(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

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| | | |
|:---|:---|:---|
| Title of each class | Trading Symbol(s) | Name of each exchange on which registered |
| Common Stock, par value $0.001 per share | LSTA | The Nasdaq Capital Market |

---

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

☐ Emerging growth company

□If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.

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**Item 8.01 Other Events.**

On July 15, 2025, Lisata Therapeutics, Inc. (the "Company") announced that it has been issued a patent from the United States Patent and Trademark Office ("USPTO") covering the composition of matter of certepetide, more specifically, around its chemical structure and pharmacokinetic properties. The granted patent, U.S. Patent No. 12,351,653, further expands the Company's intellectual property estate around certepetide and will expire in March 2040. A copy of the press release is furnished as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated into this Item 8.01 by reference.

A copy of the electronic grant (eGrant) notification and patent certificate are attached to this Current Report as Exhibit 99.2 and is incorporated herein solely for purposes of this Item 8.01 disclosure.

**Item 9.01. Financial Statement and Exhibits.** 

(d) Exhibits

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| | |
|:---|:---|
| **Exhibit No.** | **Description** |
| **<u>[99.1](ex991certepetidepatentpr20.htm)</u>** | Press Release, dated July 15, 2025 |
| **<u>[99.2](ex992patent.htm)</u>** | Electronic grant (eGrant) notification and patent certificate of U.S. Patent No. 12,351,653, titled "PHARMACEUTICAL COMPOSITIONS COMPRISING NOVEL CYCLIC PEPTIDES," issued on July 8, 2025 |

---

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**<u>SIGNATURES</u>**

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

**LISATA THERAPEUTICS, INC.**

By: <u>/s/ David J. Mazzo&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</u>

Name: David J. Mazzo, PhD

Title: President & Chief Executive Officer

Dated: July 15, 2025

## Exhibit 99.1

**<u>Exhibit 99.1</u>**

 **Lisata Therapeutics Expands Intellectual Property Portfolio with New Composition of Matter Patent for Certepetide**

 *Newly issued U.S. patent extends certepetide IP protection to 2040, with subsequent opportunity* 

*for patent term extension*

*This patent covers novel cyclic peptides and their use in treating solid tumors*

**BASKING RIDGE, N.J. (July 15, 2025)** – Lisata Therapeutics, Inc. (Nasdaq: LSTA) ("Lisata" or the "Company"), a clinical-stage pharmaceutical company developing innovative therapies for the treatment of advanced solid tumors and other serious diseases, today announced that the United States Patent and Trademark Office ("USPTO") issued the Company a new composition of matter patent for certepetide through March 2040, with subsequent opportunity for patent term extension.

A composition of matter patent is the strongest form of intellectual property ("IP") protection, safeguarding the unique chemical structure of a substance. The U.S. Patent No. 12,351,653 includes claims to certepetide's chemical structure, pharmacokinetic properties, methods of manufacturing, and applications for treating solid tumor cancers. For Lisata, securing this patent is profoundly significant as it not only strengthens Lisata's robust IP estate, but, more importantly, grants exclusive rights to the drug itself, preventing others from manufacturing or selling it.

"This new patent marks a key milestone, significantly boosting the value of both certepetide and the Company by delaying generic encroachment for essentially the next two decades," stated David J. Mazzo, Ph.D., President and Chief Executive Officer of Lisata. "This extended patent protection aids our commercialization efforts by offering long-term market exclusivity and enhances the potential future development and commercialization of certepetide. It not only secures our IP but also greatly strengthens our negotiating position with potential partners, increasing the potential for sustained growth and value creation for our shareholders."

**About Certepetide**

Certepetide (formerly LSTA1), an internalizing RGD (arginyl-glycyl-aspartic acid or iRGD), cyclic peptide product candidate, is an investigational drug designed to activate a novel uptake pathway that allows co-administered or tethered anti-cancer drugs to target and penetrate solid tumors more effectively. Certepetide actuates this active transport system in a tumor-specific manner, resulting in systemically co-administered anti-cancer drugs more efficiently penetrating and accumulating in the tumor. Certepetide also has been shown to modify the tumor microenvironment resulting in tumors which are more susceptible to immunotherapies. We and our collaborators have amassed significant non-clinical data demonstrating enhanced delivery of a range of emerging anti-cancer therapies, including immunotherapies and RNA-based therapeutics. To date, certepetide has also demonstrated favorable safety, tolerability, and clinical activity in completed and ongoing clinical trials designed to test its ability to enhance the effectiveness of standard-of-care chemotherapy for pancreatic cancer. Lisata is exploring the potential of certepetide to enable a variety of treatment modalities to treat a range of solid tumors more effectively. Certepetide has been awarded Fast Track designation (U.S.) and Orphan Drug Designation for pancreatic cancer (U.S. and E.U.) as well as Orphan Drug Designation for glioma (U.S.) and osteosarcoma (U.S.). Additionally, certepetide has received Rare Pediatric Disease Designation for osteosarcoma (U.S.).

**About Lisata Therapeutics**

Lisata Therapeutics is a clinical-stage pharmaceutical company dedicated to the discovery, development and commercialization of innovative therapies for the treatment of advanced solid tumors and other major diseases. Lisata's cyclic peptide product candidate, certepetide, is an investigational drug designed to activate a novel uptake pathway that allows co-administered or tethered anti-cancer drugs to selectively target and penetrate solid tumors more effectively. Lisata has already established noteworthy commercial and R&D partnerships based on its CendR Platform<sup>®</sup> technology. The Company expects to announce numerous milestones over the next 1.5 years and believes that its projected capital will fund operations into the fourth quarter of 2026, encompassing anticipated data milestones from its ongoing and planned clinical trials. For a comprehensive overview of certepetide's mechanism of action, please view our informative short film. For more information on the Company, please visit www.lisata.com.

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**Forward-Looking Statements**

This communication contains "forward-looking statements" that involve substantial risks and uncertainties for purposes of the safe harbor provided by the Private Securities Litigation Reform Act of 1995. All statements, other than statements of historical facts, included in this communication regarding the Company's clinical development programs are forward-looking statements. In addition, when or if used in this communication, the words "may," "could," "should," "anticipate," "believe," "estimate," "expect," "intend," "plan," "predict" and similar expressions and their variants, as they relate to Lisata or its management, may identify forward-looking statements. Examples of forward-looking statements include, but are not limited to, the potential efficacy of certepetide as a treatment for patients with solid tumors; our beliefs about the potential uses and benefits of certepetide; the expected expiration of our patents for certepetide; our ability to obtain patent term extension on our U.S. composition of matter patent; and our expectations for a long patent runway for certepetide that will support our efforts to maximize its full therapeutic potential; statements relating to Lisata's continued listing on the Nasdaq Capital Market; expectations regarding the capitalization, resources and ownership structure of Lisata; the approach Lisata is taking to discover and develop novel therapeutics; the adequacy of Lisata's capital to support its future operations and its ability to successfully initiate and complete clinical trials; and the difficulty in predicting the time and cost of development of Lisata's product candidates. Actual results could differ materially from those contained in any forward-looking statement as a result of various factors, including, without limitation: results observed from preliminary data are not necessarily indicative of final results and one or more of the clinical outcomes may materially change following more comprehensive reviews of the data and as more patient data becomes available, including the risk that unconfirmed responses may not ultimately result in confirmed responses to treatment after follow-up evaluations; the risk that product candidates that appeared promising in early research and clinical trials do not demonstrate safety and/or efficacy in larger-scale or later clinical trials; the safety and efficacy of Lisata's product candidates, decisions of regulatory authorities and the timing thereof, the duration and impact of regulatory delays in Lisata's clinical programs, Lisata's ability to finance its operations, the likelihood and timing of the receipt of future milestone and licensing fees, the future success of Lisata's scientific studies, Lisata's ability to successfully develop and commercialize drug candidates, the timing for starting and completing clinical trials, rapid technological change in Lisata's markets, the ability of Lisata to protect its intellectual property rights; and legislative, regulatory, political and economic developments. The foregoing review of important factors that could cause actual events to differ from expectations should not be construed as exhaustive and should be read in conjunction with statements that are included herein and elsewhere, including the risk factors included in Lisata's Annual Report on Form 10-K filed with the SEC on February 27, 2025, and in other documents filed by Lisata with the Securities and Exchange Commission. Except as required by applicable law, Lisata undertakes no obligation to revise or update any forward-looking statement, or to make any other forward-looking statements, whether as a result of new information, future events, or otherwise.

**Contact:**

Investors:

Lisata Therapeutics

John Menditto

Vice President, Investor Relations and Corporate Communications

Phone: 908-842-0084

Email: jmenditto@lisata.com

Media:

ICR Healthcare

Elizabeth Coleman

Account Supervisor

Phone: 203-682-4783

Email: elizabeth.coleman@icrhealthcare.com

*# # #*

## Exhibit 99.2

![](ex992patent001.jpg)

UNITED STATES PATENT AND TRADEMARK OFFICE APPLICA TTON NO. ISSUE DATE 19/023,048 08-Jul-2025 EGRANT NOTIFICATION UNffW STATES DEfARTMENT OF COMMERCE Ualted States Patent and Trademark Office Addres$:COMMISSIONER FOR PATENTS P.O. Box 1450 AJCXIDdria, Virpnia 2231>14-S0 www.u,pto.gov PATENT NO. 12351653 Your electronic patent grant (eGrant) is now available, which can be accessed via Patent Center at https:// patentcenter.uspto.gov The electronic patent grant is the official patent grant under 35 U.S.C. 153. For more information, please visit https://www.uspto.gov/electronicgrants page 1 of 1 Exhibit 99.2

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![](ex992patent002.jpg)

of ,,th,�� f?Jamzt-and ET� tjfbk �(Ml,� r a)atznrfr a ?WW and t4ffd �- � tia amitk� f ,,th,�a?<&uu:kd. �� flaw.� ban cur� and ?rfu ban �/,fa/., a,)atznrun ,,th, � Jfd/ bt, � ada ,,th, ta?t,t,. grants to the person(s) having title to this patent the right to exclude others from making, using, offering for sale, or selling the invention throughout the United States of America or importing the invention into the United States of America, and if the invention is a process, of the right to exclude others from using, offering for sale or selling throughout the United States of America, products made by that process, for the term set forth in 35 u.s.c. r54(a)(2) or (c)(1), subject to the payment of maintenance fees as provided by 35 u.s.c. 41(b). See the Maintenance Fee Notice on the inside of the cover. ACTING DIRECTOR OF THE UNITED STATES PATENT AND TRADEMARK OFFICE

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![](ex992patent003.jpg)

Maintenance Fee Notice If the application for this patent was :filed on or after December 12, 1980, maintenance fees are due three years and six months, seven years and six months, and eleven years and six months after the date of this grant, or within a grace period of six months thereafter upon payment of a surcharge as provided by law. The amount, number and timing of the mainte nance fees required may be changed by law or regulation. Unless payment of the applicable maintenance fee is received in the United States Patent and Trademark Office on or before the date the fee is due or within a grace period of six months thereafter, the patent will expire as of the end of such grace period. Patent Term Notice If the application for this patent was :filed on or after June 8, 1995, the term of this patent begins on the date on which this patent issues and ends twenty years from the :filing date of the application or, if the application contains a specific reference to an earlier :filed applica tion or applications under 35 u.s.c. 120,121, 365(c), or 386(c), twenty years from the filing date of the earliest such application ("the twenty-year term"), subject to the payment of mainte nance fees as provided by 35 u.s.c. 41(b), and any extension as provided by 35 u.s.c. 154(b) or 156 or any disclaimer under 35 u.s.c. 253. If this application was :filed prior to June 8, 1995, the term of this patent begins on the date on which this patent issues and ends on the later of seventeen years from the date of the grant of this patent or the twenty-year term set forth above for patents resulting from appli cations :filed on or after June 8, 1995, subject to the payment of maintenance fees as provided by 35 u.s.c. 41(b) and any extension as provided by 35 u.s.c. 156 or any disclaimer under 35 u.s.c. 253. Fonn PT0-377C (Rev 09/17)

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