-----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, DSqBDdrltbhHnpYh9sNSs88xBdNjDtuXA/rSotnQn42fohN6HRI8JS/C4n8xY7L4 umd3dQoADpWgjLDqq4pBkw== 0001140361-10-036241.txt : 20100903 0001140361-10-036241.hdr.sgml : 20100903 20100903215209 ACCESSION NUMBER: 0001140361-10-036241 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100901 FILED AS OF DATE: 20100903 DATE AS OF CHANGE: 20100903 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Zhang Ian CENTRAL INDEX KEY: 0001500329 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 101058784 MAIL ADDRESS: STREET 1: C/O NEOSTEM, INC. STREET 2: 420 LEXINGTON AVENUE, SUITE 450 CITY: NEW YORK STATE: NY ZIP: 10170 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 2010-09-01 0 0000320017 NeoStem, Inc. NBS 0001500329 Zhang Ian C/O NEOSTEM, INC. 420 LEXINGTON AVENUE, SUITE 450 NEW YORK NY 10170 0 1 0 0 See Remark (1) Common Stock, par value $0.001 per share 2010-09-01 4 A 0 10000 0 A 10000 D Warrants (right to buy) 1.65 2010-09-01 4 A 0 600000 0 A 2020-08-31 Common Stock, par value $0.001 per share 600000 600000 D On September 1, 2010, the commencement date of his employment agreement with NeoStem (China), Inc., a wholly-owned subsidiary of NeoStem, Inc. (the "Company"), the reporting person was granted a restricted stock award for 10,000 shares of common stock, par value $0.001 per share, of the Company ("Common Stock"), pursuant and subject to the terms and conditions of the Company's 2009 Non-U.S. Based Equity Compensation Plan (the "2009 Non-U.S. Plan"). The forfeiture restrictions on such shares will lapse on March 1, 2011, subject to the reporting person's continued employment. On September 1, 2010, the reporting person was granted a warrant to purchase 600,000 shares of Common Stock, pursuant and subject to the terms and conditions of the 2009 Non-U.S. Plan. This warrant is scheduled to vest as to 200,000 shares on each of September 1, 2011, September 1, 2012 and September 1, 2013, subject to the reporting person's continued employment. (1) President and Managing Director, NeoStem (China), Inc., a wholly-owned subsidiary of NeoStem, Inc. *Executed pursuant to a power of attorney previously filed on September 3, 2010. Ian Zhang, By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact* 2010-09-03 -----END PRIVACY-ENHANCED MESSAGE-----