0001144204-12-001194.txt : 20120106
0001144204-12-001194.hdr.sgml : 20120106
20120106210130
ACCESSION NUMBER: 0001144204-12-001194
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120104
FILED AS OF DATE: 20120106
DATE AS OF CHANGE: 20120106
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Preti Robert A
CENTRAL INDEX KEY: 0001510186
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33650
FILM NUMBER: 12515822
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
v244837_4.xml
OWNERSHIP DOCUMENT
X0304
4
2012-01-04
0
0000320017
NeoStem, Inc.
NBS
0001510186
Preti Robert A
C/O NEOSTEM, INC.
420 LEXINGTON AVENUE, SUITE 450
NEW YORK
NY
10170
0
1
0
0
See Remarks
Stock Options (Right to Buy)
.52
2012-01-04
4
A
0
276400
0
A
2022-01-03
Common Stock, par value $0.001 per share
276400
276400
D
On January 4, 2012 (the "Grant Date"), the Reporting Person was granted an option to purchase 276,400 shares of common stock of NeoStem, Inc. (the "Company"), subject to all of the terms and conditions of the Company's 2009 Equity Compensation Plan. This option vested as to one-third of the shares on the Grant Date, and is scheduled to vest as to one-third of the shares on each of January 4, 2013 and January 4, 2014.
President of Progenitor Cell Therapy, LLC, a wholly-owned subsidiary of the Company.
Robert A. Preti, By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact
2012-01-06