0000905718-14-000195.txt : 20140508 0000905718-14-000195.hdr.sgml : 20140508 20140508162806 ACCESSION NUMBER: 0000905718-14-000195 CONFORMED SUBMISSION TYPE: D PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20140508 DATE AS OF CHANGE: 20140508 EFFECTIVENESS DATE: 20140508 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NeoStem, Inc. CENTRAL INDEX KEY: 0000320017 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MISC HEALTH & ALLIED SERVICES, NEC [8090] IRS NUMBER: 222343568 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D SEC ACT: 1933 Act SEC FILE NUMBER: 021-217054 FILM NUMBER: 14825362 BUSINESS ADDRESS: STREET 1: 420 LEXINGTON AVENUE STREET 2: SUITE 350 CITY: NEW YORK STATE: NY ZIP: 10170 BUSINESS PHONE: 212-584-4171 MAIL ADDRESS: STREET 1: 420 LEXINGTON AVENUE STREET 2: SUITE 350 CITY: NEW YORK STATE: NY ZIP: 10170 FORMER COMPANY: FORMER CONFORMED NAME: PHASE III MEDICAL INC/DE DATE OF NAME CHANGE: 20030819 FORMER COMPANY: FORMER CONFORMED NAME: CORNICHE GROUP INC /DE DATE OF NAME CHANGE: 19951117 FORMER COMPANY: FORMER CONFORMED NAME: FIDELITY MEDICAL INC DATE OF NAME CHANGE: 19951025 D 1 primary_doc.xml X0707 D LIVE 0000320017 NeoStem, Inc. 420 LEXINGTON AVENUE SUITE 350 NEW YORK NY NEW YORK 10170 212-584-4180 DELAWARE None PHASE III MEDICAL INC/DE CORNICHE GROUP INC /DE FIDELITY MEDICAL INC Corporation true Robin L. Smith c/o NeoStem, Inc. 420 Lexington Avenue, Suite 350 New York NY NEW YORK 10170 Executive Officer Director Richard Berman c/o NeoStem, Inc. 420 Lexington Avenue, Suite 350 New York NY NEW YORK 10170 Director Steven S. Myers c/o NeoStem, Inc. 420 Lexington Avenue, Suite 350 New York NY NEW YORK 10170 Director Eric H.C. Wei c/o NeoStem, Inc. 420 Lexington Avenue, Suite 350 New York NY NEW YORK 10170 Director Drew Bernstein c/o NeoStem, Inc. 420 Lexington Avenue, Suite 350 New York NY NEW YORK 10170 Director Robert Preti c/o NeoStem, Inc. 420 Lexington Avenue, Suite 350 New York NY NEW YORK 10170 Executive Officer Catherine Vaczy c/o NeoStem, Inc. 420 Lexington Avenue, Suite 350 New York NY NEW YORK 10170 Executive Officer Joseph Talamo c/o NeoStem, Inc. 420 Lexington Avenue, Suite 350 New York NY NEW YORK 10170 Executive Officer Douglas Losordo c/o NeoStem, Inc. 420 Lexington Avenue, Suite 350 New York NY NEW YORK 10170 Executive Officer Martyn D. Greenacre c/o NeoStem, Inc. 420 Lexington Avenue, Suite 350 New York NY NEW YORK 10170 Director Stephen W. Potter c/o NeoStem, Inc. 420 Lexington Avenue, Suite 350 New York NY NEW YORK 10170 Executive Officer Andrew L. Pecora c/o NeoStem, Inc. 420 Lexington Avenue, Suite 350 New York NY NEW YORK 10170 Executive Officer Director Robert Dickey IV c/o NeoStem, Inc. 420 Lexington Avenue, Suite 350 New York NY NEW YORK 10170 Executive Officer Biotechnology Decline to Disclose 06b false 2014-05-08 false true true The offering relates to the issuance of certain merger consideration in connection with our acquisition of California Stem Cell, Inc. ("CSC"). 0 Piper Jaffray & Co. 665 None None 800 NICOLLET MALL SUITE 1000 MINNEAPOLIS MN MINNESOTA 55402 NY NEW YORK false 38000000 38000000 0 Estimated value of merger consideration paid at closing. At closing, CSC stockholders received 5,329,593 shares of our common stock. Does not include up to $90 million in cash and/or shares based on certain milestones as set forth in the merger agmt. true 27 142 0 1500000 true At closing NeoStem on behalf of CSC paid Piper approximately $1,500,000 pursuant to an engagement letter between CSC and Piper. Excludes additional contingent fees payable solely out of any milestone consideration payable to CSC stockholders 0 true false NeoStem, Inc. /s/ Robin L. Smith Robin L. Smith Chief Executive Officer 2014-05-08