-----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, FRRA0RnD6ZXYZFcbNlaKe9bohNbBjQkABCXjhcgEeqnY0MNF7RddsADiTbV+reS9 1QeTvaj7z+DzXAnNK4WJ7g== 0001144204-09-036519.txt : 20090708 0001144204-09-036519.hdr.sgml : 20090708 20090708170102 ACCESSION NUMBER: 0001144204-09-036519 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090706 FILED AS OF DATE: 20090708 DATE AS OF CHANGE: 20090708 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HARRIS ALAN G CENTRAL INDEX KEY: 0001351182 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 09935489 MAIL ADDRESS: STREET 1: 810 SEVENTH AVENUE 4TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 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 v154369_ex.xml X0303 4 2009-07-06 0 0000320017 NeoStem, Inc. NBS 0001351182 HARRIS ALAN G C/O NEOSTEM, INC. 420 LEXINGTON AVENUE, SUITE 450 NEW YORK NY 10170 0 1 0 0 See Remarks Stock Options (right to buy) 1.88 2009-07-06 4 A 0 150000 0 A 2019-07-05 Common Stock, par value $.001 per share 150000 150000 D On July 6, 2009 (the "Grant Date"), the commencement date of his employment agreement with NeoStem, Inc. (the "Company"), Dr. Harris was granted an option to purchase 150,000 shares of common stock under the Company's 2009 Equity Compensation Plan. 50,000 of these options shall vest on the Grant Date and 100,000 options shall vest on the first anniversary of the Grant Date. Vice President of Drug Development and Regulatory Affairs /s/Alan Harris 2009-07-08 -----END PRIVACY-ENHANCED MESSAGE-----