-----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, KIBN+zwGVkRykHQeeSix92esqdA/0znpuV2BdnYVcEC7tKBcauM+Mk5iSzSaR0V8 qsEOEcjOo7BGUSVycn5XpA== 0001140361-09-025143.txt : 20091106 0001140361-09-025143.hdr.sgml : 20091106 20091106204458 ACCESSION NUMBER: 0001140361-09-025143 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091104 FILED AS OF DATE: 20091106 DATE AS OF CHANGE: 20091106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BERMAN RICHARD J CENTRAL INDEX KEY: 0001111620 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 091166301 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 doc1.xml FORM 4 X0303 4 2009-11-04 0 0000320017 NeoStem, Inc. NBS 0001111620 BERMAN RICHARD J C/O NEOSTEM, INC. 420 LEXINGTON AVENUE, SUITE 450 NEW YORK NY 10170 1 0 0 0 Common Stock, par value $0.001 per share 2009-11-04 4 A 0 80000 0 A 217728 D Stock Options (right to buy) 1.66 2009-11-04 4 A 0 150000 0 A 2019-11-03 Common Stock, par value $0.001 per share 150000 150000 D Stock Options (right to buy) 1.66 2009-11-04 4 A 0 50000 0 A 2019-11-03 Common Stock, par value $0.001 per share 50000 50000 D On November 4, 2009, the date of grant ("Grant Date"), the reporting person was granted a common stock award pursuant and subject to NeoStem, Inc.'s (the "Company") 2009 Equity Compensation Plan (the "2009 Plan"). This award was fully vested on the Grant Date. On the Grant Date, the reporting person was granted an option to purchase 150,000 shares of common stock of the Company pursuant and subject to the Company's 2009 Plan. This option vests as to 50,000 shares on each of the first, second and third anniversaries of the Grant Date. On the Grant Date, the reporting person was granted an option to purchase 50,000 shares of common stock of the Company pursuant and subject to the Company's 2009 Plan. This option vests as to 16,667 shares on each of the first and second anniversaries of the Grant Date and as to the remaining 16,666 shares on the third anniversary of the Grant Date. Richard J. Berman, By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact 2009-11-06 -----END PRIVACY-ENHANCED MESSAGE-----