0001140361-11-021193.txt : 20110406 0001140361-11-021193.hdr.sgml : 20110406 20110406211654 ACCESSION NUMBER: 0001140361-11-021193 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110404 FILED AS OF DATE: 20110406 DATE AS OF CHANGE: 20110406 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: May Larry Alan CENTRAL INDEX KEY: 0001354850 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 11744498 MAIL ADDRESS: STREET 1: 11038 HILDRETH COURT CITY: CAMARILLO STATE: CA ZIP: 93012 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 2011-04-04 0 0000320017 NeoStem, Inc. NBS 0001354850 May Larry Alan C/O NEOSTEM, INC. 420 LEXINGTON AVENUE, SUITE 450 NEW YORK NY 10170 0 1 0 0 Chief Financial Officer Stock Options (right to buy) 1.74 2011-04-04 4 A 0 350000 0 A 2021-04-03 Common Stock, par value $0.001 per share 350000 350000 D On April 4, 2011, Mr. May was granted a stock option to purchase 350,000 shares of Common Stock under the Company's 2009 Equity Compensation Plan (the "2009 Plan"). Options as to 175,000 shares vested on the date of the grant and options as to the remaining 175,000 shares will vest on April 4, 2012. The option is subject to all the terms and conditions of the 2009 Plan. Larry Alan May, By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact 2011-04-06