-----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, KY8synQkXLjQjsp2F6SoKeFFLr5H6P9gmtmvt/WuMQYHxGhDMaianxcMCrtE5d5R cONYfZL1FlGiZXIeBaQKjg== 0001144204-09-044707.txt : 20090819 0001144204-09-044707.hdr.sgml : 20090819 20090819170051 ACCESSION NUMBER: 0001144204-09-044707 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090817 FILED AS OF DATE: 20090819 DATE AS OF CHANGE: 20090819 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Salerno Anthony CENTRAL INDEX KEY: 0001470433 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 091024772 MAIL ADDRESS: STREET 1: 56 DAMIEN ROAD CITY: WELLESLEY HILLS STATE: MA ZIP: 02481 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 v158445_ex.xml X0303 4 2009-08-17 0 0000320017 NeoStem, Inc. NBS 0001470433 Salerno Anthony C/O NEOSTEM, INC. 420 LEXINGTON AVENUE, SUITE 450 NEW YORK NY 10170 0 1 0 0 See Remarks Stock Options (right to buy) 1.77 2009-08-17 4 A 0 140000 0 A 2019-08-16 Common Stock, par value $.001 per share 140000 140000 D On August 17, 2009 (the "Grant Date"), the commencement date of his employment agreement with NeoStem, Inc. (the "Company"), Mr. Salerno was granted an option to purchase 140,000 shares of common stock under the Company's 2009 Equity Compensation Plan (the "2009 ECP"). 50,000 of these options shall vest on August 17, 2010, 50,000 options shall vest on August 17, 2011, and 40,000 options shall vest upon the achievement of business milestones. The option is subject to all the terms and conditions of the 2009 ECP. Vice President of Strategic Development and Academic Affairs /s/Anthony Salerno 2009-08-18 -----END PRIVACY-ENHANCED MESSAGE-----