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