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