0001144204-12-038141.txt : 20120703 0001144204-12-038141.hdr.sgml : 20120703 20120703185424 ACCESSION NUMBER: 0001144204-12-038141 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: Wei Eric CENTRAL INDEX KEY: 0001368570 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 12946603 MAIL ADDRESS: STREET 1: SUITE 602, CHINA LIFE TOWER STREET 2: 16 CHAOWAI DISTRICT CITY: BEIJING STATE: F4 ZIP: 100020 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 v317734_4.xml OWNERSHIP DOCUMENT X0306 4 2012-06-29 0 0000320017 NeoStem, Inc. NBS 0001368570 Wei Eric C/O NEOSTEM, INC. 420 LEXINGTON AVENUE, SUITE 450 NEW YORK NY 10170 1 0 0 0 Common stock, par value $0.001 per share 2012-06-29 4 A 0 15306 A 15306 D Common stock, par value $0.001 per share 22529874 I See footnote 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. These securities are held by RimAsia Capital Partners, L.P., a Cayman Islands exempted limited partnership ("RimAsia LP"). RimAsia Capital Partners GP, L.P., a Cayman Islands exempted limited partnership ("RimAsia GP"), is the general partner of RimAsia lp. RimAsia Capital Partners GP, Ltd., a Cayman Islands exempted company ("RimAsia Ltd."), is the general partner of RimAsia GP. Mr. Wei is the managing partner of RimAsia LP, an indirect partner of RimAsia GP and a director of RimAsia Ltd. As a result, Mr. Wei may be deemed to have sole power to vote certain of the securities held by RimAsia LP. Mr. Wei disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein Eric H.C. Wei By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact 2012-07-03