0001144204-12-036783.txt : 20120627 0001144204-12-036783.hdr.sgml : 20120627 20120627215225 ACCESSION NUMBER: 0001144204-12-036783 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120625 FILED AS OF DATE: 20120627 DATE AS OF CHANGE: 20120627 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: 12930747 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 v317201_4.xml OWNERSHIP DOCUMENT X0305 4 2012-06-25 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 Option (Right to Buy) 0.44 2012-06-25 4 A 0 64583 A 2022-06-24 Common Stock, par value $0.001 per share 64583 64583 D On June 25, 2012, the Compensation Committee of the Issuer's Board of Directors approved an arrangement whereby the Reporting Person was issued on June 25, 2012 an option (the "Option") to purchase that number of shares of the Issuer's common stock, par value $0.001 per share (the "Common Stock") equal to the Reporting Person's contactual salary increase scheduled to take effect on July 7, 2012 divided by $.36, the Black-Scholes value of such Option at the time of grant, under and subject to the Issuer's 2009 Equity Compensation Plan (the "Plan") and vesting ratably at the end of each month in which such salary increase is scheduled to be paid. /s/ Catherine M. Vaczy, Esq. 2012-06-27