-----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, U1V1QG1lQC/eRYnVz05yH9SjYUGHwN++VndPKWvRkkuiFs4JtwPErkqYbpynsbBn WE9HLs7wIwWPnSmgHSNNnw== 0001144204-10-033215.txt : 20100611 0001144204-10-033215.hdr.sgml : 20100611 20100611214620 ACCESSION NUMBER: 0001144204-10-033215 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100609 FILED AS OF DATE: 20100611 DATE AS OF CHANGE: 20100611 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Zhang Jian M CENTRAL INDEX KEY: 0001399061 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 10893632 MAIL ADDRESS: STREET 1: SUITE 602, CHINA LIFE TOWER STREET 2: NO.16 CHAOWAI STREET, CHAOYANG DISTRICT CITY: BEIJING STATE: F4 ZIP: 100020 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 v188051_ex.xml X0303 4 2010-06-09 0 0000320017 NeoStem, Inc. NBS 0001399061 Zhang Jian M 859 PANXU ROAD CANGLANG DISTRICT SUZHOU CITY, JIANGSU PROVINCE F4 215002 CHINA 0 1 0 0 See Remarks Warrants (right to buy) 2.16 2010-06-09 4 A 0 650000 0 A 2020-06-08 Common Stock, par value $0.001 per share 650000 650000 D On June 9, 2010 (the "Grant Date"), the reporting person was granted a warrant to purchase 650,000 shares of common stock of NeoStem, Inc. (the "Company") pursuant and subject to the terms and conditions of the Company's 2009 Non-U.S. Based Equity Compensation Plan. This warrant vested as to 150,000 shares on the Grant Date, and is scheduled to vest (i) as to 50,000 shares on each of the first, second, third, fourth and fifth anniversaries of the Grant Date and (ii) as to 250,000 shares upon the achievement of specific business milestones. Vice President, Pharmaceutical Operations, and General Manager of Suzhou Erye Pharmaceuticals Company Ltd., a 51% owned subsidiary of the Company. Jian Zhang, By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact 2010-06-11 -----END PRIVACY-ENHANCED MESSAGE-----