0001144204-11-013590.txt : 20110308 0001144204-11-013590.hdr.sgml : 20110308 20110308210444 ACCESSION NUMBER: 0001144204-11-013590 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110304 FILED AS OF DATE: 20110308 DATE AS OF CHANGE: 20110308 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kolbert Jason CENTRAL INDEX KEY: 0001514506 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 11673512 MAIL ADDRESS: STREET 1: C/O NEOSTEM, INC. STREET 2: 420 LEXINGTON AVENUE, SUITE 450 CITY: NEW YORK STATE: NY ZIP: 10170 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 v213886_ex.xml X0303 4 2011-03-04 0 0000320017 NeoStem, Inc. NBS 0001514506 Kolbert Jason C/O NEOSTEM, INC. 420 LEXINGTON AVENUE, SUITE 450 NEW YORK NY 10170 0 1 0 0 See Remarks Stock Options (right to buy) 1.49 2011-03-04 4 A 0 350000 0 A 2021-03-03 Common Stock, par value $0.001 per share 350000 350000 D On March 4, 2011, the commencement date ("Commencement Date") of his employment agreement with NeoStem, Inc. (the "Company"), the reporting person was granted an option to purchase 350,000 shares of common stock, par value $0.001 per share, of the Company, pursuant and subject to the terms and conditions of the Company's 2009 Equity Compensation Plan. This option vested as to 50,000 shares on the Commencement Date, and is scheduled to vest as to 100,000 shares on each of March 4, 2012, March 4, 2013 and March 4, 2014, provided that the reporting person remains employed by the Company on each of such dates. Vice President of Strategic Business Development *Executed pursuant to a power of attorney previously filed on March 8, 2011. Jason Kolbert, By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact* 2011-03-08