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