0001144204-12-038134.txt : 20120703
0001144204-12-038134.hdr.sgml : 20120703
20120703184642
ACCESSION NUMBER: 0001144204-12-038134
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120629
FILED AS OF DATE: 20120703
DATE AS OF CHANGE: 20120703
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Geehr Edward
CENTRAL INDEX KEY: 0001475152
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33650
FILM NUMBER: 12946586
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
v317729_4.xml
OWNERSHIP DOCUMENT
X0306
4
2012-06-29
0
0000320017
NeoStem, Inc.
NBS
0001475152
Geehr Edward
C/O NEOSTEM, INC.
420 LEXINGTON AVENUE, SUITE 450
NEW YORK
NY
10170
1
0
0
0
Stock Option (Right to Buy)
0.49
2012-06-29
4
A
0
18685
A
2022-06-28
Common stock, par value $0.001 per share
18685
18685
D
On May 7, 2012, at a meeting of a committee of the Issuer's Board of Directors, the directors approved an arrangement whereby each of the Issuer's independent directors would receive, at such director's election, either (i) that number of shares of the Issuer's common stock, par value $0.001 per share (the "Common Stock") equal to the full amount of such director's cash fee for the quarterly period ended June 30, 2012, divided by $0.49, the closing price of the Common Stock on the date of issuance (the "Stock Award"); or (ii) an option to purchase that number of shares of Common Stock equal to the full amount of such independent director's cash fee for the quarterly period ended June 30, 2012, divided by $0.40, the Black-Scholes value of such option on the date of grant, vesting fully on the date of grant (the "Option Grant") in lieu of the quarterly cash fee.
The quarterly cash fee for each of the Issuer's independent directors is $7,500. The Stock Award and the Option Grant were each issued under and subject to the terms and conditions of the Issuer's 2009 Equity Compensation Plan.
Edward Geehr, M.D. By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact
2012-07-03