-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, DaqBnzNuc/sRlAF20UZAymLDPn0OWASGUQ4CmWCOr8hPrONvPhshCjUMV2nY8JyD 7tQE0A7ufpfcWMQipm8v+A== 0001005477-07-000527.txt : 20070130 0001005477-07-000527.hdr.sgml : 20070130 20070130165748 ACCESSION NUMBER: 0001005477-07-000527 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070126 FILED AS OF DATE: 20070130 DATE AS OF CHANGE: 20070130 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Smith Robin L CENTRAL INDEX KEY: 0001365035 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-10909 FILM NUMBER: 07565237 BUSINESS ADDRESS: BUSINESS PHONE: 631-574-4955 MAIL ADDRESS: STREET 1: C/O PHASE III MEDICAL, INC. STREET 2: 330 SOUTH SERVICE ROAD, SUITE 120 CITY: MELVILLE STATE: NY ZIP: 11747 ISSUER: 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 BUSINESS ADDRESS: STREET 1: 420 LEXINGTON AVENUE STREET 2: SUITE 450 CITY: NEW YORK STATE: NY ZIP: 10170 BUSINESS PHONE: 212-584-4171 MAIL ADDRESS: STREET 1: 420 LEXINGTON AVENUE STREET 2: SUITE 450 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 4 1 edgar123.xml FORM 4 X0202 4 2007-01-26 0 0000320017 NeoStem, Inc. NEOI 0001365035 Smith Robin L C/O NEOSTEM, INC. 420 LEXINGTON AVENUE, SUITE 450 NEW YORK NY 10170 1 1 0 0 Chairman and CEO Common Stock, $.001 par value 2007-01-26 4 P 0 200000 A 952619 D Warrants (right to buy) .80 2007-01-26 4 P 0 200000 A 2014-01-26 Common Stock 200000 200000 D These securities were purchased in a private placement made by NeoStem, Inc. Pursuant to the terms of this private placement, NeoStem, Inc., sold units ("Units") at a per Unit price of $1.00 with each Unit consisting of (a) two shares of Common Stock, $.001 par value and (b) two accompanying warrants each for the purchase of one share of Common Stock at an exercise price of $0.80 per share, subject to adjustment, expiring seven years from the date of issuance. These warrants can be exercised immediately. /s/ Catherine M. Vaczy, Esq., Attorney-In-Fact 2007-01-30 -----END PRIVACY-ENHANCED MESSAGE-----