0001140361-11-021197.txt : 20110406
0001140361-11-021197.hdr.sgml : 20110406
20110406212902
ACCESSION NUMBER: 0001140361-11-021197
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110404
FILED AS OF DATE: 20110406
DATE AS OF CHANGE: 20110406
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: 11744528
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
2011-04-04
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)
1.74
2011-04-04
4
A
0
250000
0
A
2021-04-03
Common Stock, par value $0.001 per share
250000
250000
D
On April 4, 2011, Ms. Vaczy was granted a stock option to purchase 250,000 shares of Common Stock under the Company's 2009 Equity Compensation Plan (the "2009 Plan"). Options as to 125,000 shares vested on the date of the grant and options as to the remaining 125,000 shares will vest on April 4, 2012. The option is subject to all the terms and conditions of the 2009 Plan.
/s/ Catherine M. Vaczy, Esq.
2011-04-06