0001144204-13-000892.txt : 20130104
0001144204-13-000892.hdr.sgml : 20130104
20130104210342
ACCESSION NUMBER: 0001144204-13-000892
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: BERMAN RICHARD J
CENTRAL INDEX KEY: 0001111620
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33650
FILM NUMBER: 13513532
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
v331484_4.xml
OWNERSHIP DOCUMENT
X0306
4
2013-01-04
0
0000320017
NeoStem, Inc.
NBS
0001111620
BERMAN RICHARD J
C/O NEOSTEM, INC.
420 LEXINGTON AVENUE, SUITE 350
NEW YORK
NY
10170
1
0
0
0
Common stock, par value $0.001 per share
2013-01-04
4
A
0
146923
A
296229
D
On January 4, 2013 (the "Grant Date"), the Reporting Person was granted an award of 146,923 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 and pursuant to the Issuer's Director Compensation Plan. The award was fully vested on the Grant Date.
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact
2013-01-04