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