0001144204-12-064952.txt : 20121126 0001144204-12-064952.hdr.sgml : 20121126 20121126200106 ACCESSION NUMBER: 0001144204-12-064952 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121121 FILED AS OF DATE: 20121126 DATE AS OF CHANGE: 20121126 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pecora Andrew L CENTRAL INDEX KEY: 0001510184 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 121225325 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 v329282_4.xml OWNERSHIP DOCUMENT X0306 4 2012-11-21 0 0000320017 NeoStem, Inc. NBS 0001510184 Pecora Andrew L C/O NEOSTEM, INC. 420 LEXINGTON AVENUE, SUITE 450 NEW YORK NY 10170 1 1 0 0 Chief Medical Officer Common Stock, $0.001 par value 2012-11-26 4 A 0 6934 0.67 A 2053389 D Common Stock, $0.001 par value 2012-11-26 4 A 0 4786 0.7084 A 2058175 D On August 20, 2012, the Issuer's Board of Directors approved an arrangement whereby the Reporting Person shall receive his net salary for his three out of five day workweek through the issuance to him by the Issuer of shares of the Issuer's common stock at the then-market price at the time of issuance, under and subject to the terms and conditions of the Issuers' 2009 Equity Compensation Plan. Accordingly, 6,934 shares were issued to the Reporting Person for the most recent pay period and 4,786 shares were issued to account for a shortfall for prior periods at a weighted average price for the prior periods. Andrew L. Pecora By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact 2012-11-26