0001144204-12-046895.txt : 20120817 0001144204-12-046895.hdr.sgml : 20120817 20120817210640 ACCESSION NUMBER: 0001144204-12-046895 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120816 FILED AS OF DATE: 20120817 DATE AS OF CHANGE: 20120817 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: May Larry Alan CENTRAL INDEX KEY: 0001354850 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 121043781 MAIL ADDRESS: STREET 1: 11038 HILDRETH COURT CITY: CAMARILLO STATE: CA ZIP: 93012 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 v321903_4.xml OWNERSHIP DOCUMENT X0306 4 2012-08-16 0 0000320017 NeoStem, Inc. NBS 0001354850 May Larry Alan C/O NEOSTEM, INC. 420 LEXINGTON AVENUE, SUITE 450 NEW YORK NY 10170 0 1 0 0 Chief Financial Officer Common Stock, par value $0.001 per share 2012-08-16 4 A 0 1500 A 64618 D Common Stock, par value $0.001 per share 51 I By spouse Stock Option (Right to Buy) 1.90 2012-08-16 4 D 0 1500 D Common stock, par value $0.001 per share 1500 0 D The reporting person agreed to the cancellation of a total of 1,500 options (originally granted on January 19, 2006 expiring ten years from the date of grant), including the forfeiture of the reload feature contained in the option which entitled the reporting person to a new option grant for the same number of shares as the original option on exercise, in exchange for the granting of 1,500 shares (for which the Company will pay applicable withholding taxes), as approved by the Compensation Committee. Larry Alan May By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact 2012-08-17