0001144204-12-040621.txt : 20120723 0001144204-12-040621.hdr.sgml : 20120723 20120723210039 ACCESSION NUMBER: 0001144204-12-040621 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120112 FILED AS OF DATE: 20120723 DATE AS OF CHANGE: 20120723 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: RimAsia Capital Partners Manager, Ltd. CENTRAL INDEX KEY: 0001554792 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 12975423 BUSINESS ADDRESS: STREET 1: 1807 HARBOUR CENTRE STREET 2: 25 HARBOUR ROAD CITY: WANCHAI STATE: K3 ZIP: F4 BUSINESS PHONE: 646-430-9066 MAIL ADDRESS: STREET 1: 1807 HARBOUR CENTRE STREET 2: 25 HARBOUR ROAD CITY: WANCHAI STATE: K3 ZIP: F4 FORMER NAME: FORMER CONFORMED NAME: RimAsia Capital Partners Manger, Ltd. DATE OF NAME CHANGE: 20120723 3 1 v319302_3.xml OWNERSHIP DOCUMENT X0206 3 2012-01-12 0 0000320017 NeoStem, Inc. NBS 0001554792 RimAsia Capital Partners Manager, Ltd. 1807 HARBOUR CENTRE 25 HARBOUR ROAD, HONG KONG F4 CHINA 0 0 0 1 Member of 10% owner group. Common Stock, par value $0.001 per share 120000 D Common Stock, par value $0.001 per share 22409874 I See footnote Warrant to Purchase Common Stock 2.50 2009-10-30 2014-04-13 Common Stock, par value $0.001 per share 4000000 I See footnote Consists of 120,000 shares of common stock, par value $0.001 per share ("Common Stock"), of NeoStem, Inc. (the "Company") and formerly owned directly by Eric H. C. Wei, that were transferred by Mr. Wei to RimAsia Capital Partners Manager, Ltd., a Cayman Islands exempted limited company ("RimAsia Manager") on January 12, 2012 for no consideration, which shares had been erroneously reported in the Form 4 of RimAsia Capital Partners, L.P. ("RimAsia LP") dated January 13, 2012 as having been transferred to RimAsia LP. Reflects 22,409,874 shares of Common Stock owned by RimAsia LP as of January 12, 2012. RimAsia Manager is the Fund Manager of RimAsia Capital Partners GP, L.P., a Cayman Islands exempted limited partnership ("RimAsia GP") and the Manager of RimAsia LP. RimAsia GP is the general partner of RimAsia LP. RimAsia Capital Partners GP, Ltd. ("RimAsia Ltd.") is the general partner of RimAsia GP. Mr. Wei, a member of the Company's board of directors, is the managing partner of RimAsia LP, an indirect partner of RimAsia GP, a director of RimAsia Capital Partners GP, Ltd. and a director of RimAsia Manager. As a result, RimAsia Manager may be deemed to have sole power to vote certain of the securities held by RimAsia LP. RimAsia Manager disclaims beneficial ownership of such securities, except to the extent of its pecuniary interest therein. Reflect warrants to purchase 4,000,000 shares of Common Stock owned by RimAsia LP as of January 12, 2012. RIMASIA CAPITAL PARTNERS MANAGER, LTD. By: Eric H.C. Wei, Director By: /s/ CATHERINE M. VACZY, ESQ., ATTORNEY-IN-FACT 2012-07-23