0001144204-13-000889.txt : 20130104 0001144204-13-000889.hdr.sgml : 20130104 20130104210210 ACCESSION NUMBER: 0001144204-13-000889 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130102 FILED AS OF DATE: 20130104 DATE AS OF CHANGE: 20130104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Smith Robin L CENTRAL INDEX KEY: 0001365035 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 13513527 MAIL ADDRESS: STREET 1: C/O PHASE III MEDICAL, INC. STREET 2: 330 SOUTH SERVICE ROAD, SUITE 120 CITY: MELVILLE STATE: NY ZIP: 11747 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 v331486_4.xml OWNERSHIP DOCUMENT X0306 4 2013-01-02 0 0000320017 NeoStem, Inc. NBS 0001365035 Smith Robin L C/O NEOSTEM, INC. 420 LEXINGTON AVENUE, SUITE 350 NEW YORK NY 10170 1 1 0 0 Chairman of the Board and CEO Stock Option (right to purchase) 0.62 2013-01-02 4 A 0 500000 0 A 2023-01-01 Common Stock, par value $0.001 per share 500000 500000 D On January 2, 2013 (the "Grant Date"), the Reporting Person was granted an option to purchase shares of the Issuer's common stock, subject to all of the terms and conditions of the Issuer's 2009 Amended & Restated Equity Compensation Plan. This option vests as follows: as to 20% of the shares on the Grant Date, and as to the remaining shares in 20% increments upon the achievement of certain specified business milestones. By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact 2013-01-04