0001144204-13-000887.txt : 20130104 0001144204-13-000887.hdr.sgml : 20130104 20130104210118 ACCESSION NUMBER: 0001144204-13-000887 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130104 FILED AS OF DATE: 20130104 DATE AS OF CHANGE: 20130104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BERNSTEIN DREW CENTRAL INDEX KEY: 0001466250 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 13513523 MAIL ADDRESS: STREET 1: C/O BERSTEIN & PINCHUK LLP STREET 2: SEVEN PENN PLAZA SUITE 830 CITY: NEW YORK STATE: NY ZIP: 10001 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 v331477_4.xml OWNERSHIP DOCUMENT X0306 4 2013-01-04 0 0000320017 NeoStem, Inc. NBS 0001466250 BERNSTEIN DREW C/O NEOSTEM, INC. 420 LEXINGTON AVENUE, SUITE 350 NEW YORK NY 10170 1 0 0 0 Stock Option (Right to Buy) 0.65 2013-01-04 4 A 0 265000 A 2023-01-03 Common stock, par value $0.001 per share 265000 265000 D On January 4, 2013 (the "Grant Date"), the Reporting Person was granted an option to purchase 265,000 shares of the Issuer's common stock of, subject to all of the terms and conditions of the Issuer's 2009 Amended & Restated Equity Compensation Plan and pursuant to the Issuer's Director Compensation Plan. This option was fully vested on the Grant Date. /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact 2013-01-04