-----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, BVEZ9TWv79Z4gnTWqHQufGb9eSNZo17pXggdZvp1O1sx/6MPseCnqWOI8d8I9l6f AhaUTDDH6Ri2grb2DjTIaw== 0001140361-09-025153.txt : 20091106 0001140361-09-025153.hdr.sgml : 20091106 20091106205943 ACCESSION NUMBER: 0001140361-09-025153 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091104 FILED AS OF DATE: 20091106 DATE AS OF CHANGE: 20091106 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VACZY CATHERINE M CENTRAL INDEX KEY: 0001177176 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 091166319 MAIL ADDRESS: STREET 1: C/O PHASE III MEDICAL, INC. STREET 2: 330 SOUTH SERVICE ROAD, SUITE 120 CITY: MELVILLE STATE: NY ZIP: 11747 4 1 doc1.xml FORM 4 X0303 4 2009-11-04 0 0000320017 NeoStem, Inc. NBS 0001177176 VACZY CATHERINE M C/O NEOSTEM, INC. 420 LEXINGTON AVENUE, SUITE 450 NEW YORK NY 10170 0 1 0 0 VP and General Counsel Stock Options (right to buy) 1.66 2009-11-04 4 A 0 100000 0 A 2019-11-03 Common Stock, par value $0.001 per share 100000 100000 D On November 4, 2009, the date of grant ("Grant Date"), the reporting person was granted an option to purchase 100,000 shares of common stock of NeoStem, Inc. (the "Company") pursuant and subject to the Company's 2009 Equity Compensation Plan. This option vests as to 33,333 shares on each of the first and second anniversaries of the Grant Date and as to the remaining 33,334 shares on the third anniversary of the Grant Date. /s/ Catherine M. Vaczy, Esq. 2009-11-06 -----END PRIVACY-ENHANCED MESSAGE-----