0001144204-11-061510.txt : 20111104
0001144204-11-061510.hdr.sgml : 20111104
20111104210338
ACCESSION NUMBER: 0001144204-11-061510
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20111102
FILED AS OF DATE: 20111104
DATE AS OF CHANGE: 20111104
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Smith Robin L
CENTRAL INDEX KEY: 0001365035
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33650
FILM NUMBER: 111182588
MAIL ADDRESS:
STREET 1: C/O PHASE III MEDICAL, INC.
STREET 2: 330 SOUTH SERVICE ROAD, SUITE 120
CITY: MELVILLE
STATE: NY
ZIP: 11747
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
v239283_4.xml
OWNERSHIP DOCUMENT
X0304
4
2011-11-02
0
0000320017
NeoStem, Inc.
NBS
0001365035
Smith Robin L
C/O NEOSTEM, INC.
420 LEXINGTON AVENUE, SUITE 450
NEW YORK
NY
10170
1
1
0
0
Chairman of Board and CEO
Common Stock, $0.001 par value
2011-11-02
4
A
0
268664
0.62
A
1332750
D
On November 2, 2011, the Compensation Committee of the Issuer's Board of Directors approved an arrangement whereby the Reporting Person shall receive the net amount of her contractual bonus due October 1, 2011, through the issuance to her by the Issuer of shares of the Issuer's common stock, par value $0.001 per share (the "Common Stock"), at the closing price of the Common Stock on November 1, 2011, under and subject to the terms and conditions of the Issuer's 2009 Equity Compensation Plan.
Robin L. Smith By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact
2011-11-04