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