-----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, Rw22jvw2vaiJwBkzxmAzYuoh36LbRMiKOoxDl+wh7Hq/ufMtVyJfFuLVU1lHGboz WtbG5vFtV6hPOFFOyI2HvQ== 0001144204-10-037369.txt : 20100709 0001144204-10-037369.hdr.sgml : 20100709 20100709171527 ACCESSION NUMBER: 0001144204-10-037369 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100707 FILED AS OF DATE: 20100709 DATE AS OF CHANGE: 20100709 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: 10946852 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 v190317_ex.xml X0303 4 2010-07-07 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) 1.75 2010-07-07 4 A 0 350000 0 A 2020-07-06 Common Stock, par value $0.001 per share 350000 350000 D On July 7, 2010 (the "Grant Date"), the effective date of an extension of her employment agreement with NeoStem, Inc. (the "Company"), Ms. Vaczy was granted an option to purchase 350,000 shares of common stock under the Company's 2009 Equity Compensation Plan (the "2009 Plan"). This option vests as to 100,000 shares on July 7, 2011, as to 50,000 shares on December 31, 2011, and as to the remaining 200,000 shares upon the achievement of business milestones. The option is subject to all the terms and conditions of the 2009 Plan. /s/ Catherine M. Vaczy, Esq. 2010-07-09 -----END PRIVACY-ENHANCED MESSAGE-----