0001144204-13-043730.txt : 20130807 0001144204-13-043730.hdr.sgml : 20130807 20130807210104 ACCESSION NUMBER: 0001144204-13-043730 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130805 FILED AS OF DATE: 20130807 DATE AS OF CHANGE: 20130807 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LOSORDO DOUGLAS W CENTRAL INDEX KEY: 0001583810 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 131019695 MAIL ADDRESS: STREET 1: 13 FOX MEADOW RD CITY: SCARSDALE STATE: NY ZIP: 10583 4 1 v352252_4.xml OWNERSHIP DOCUMENT X0306 4 2013-08-05 0 0000320017 NeoStem, Inc. NBS 0001583810 LOSORDO DOUGLAS W C/O NEOSTEM, INC. 420 LEXINGTON AVENUE, SUITE 350 NEW YORK NY 10170 0 1 0 0 Chief Medical Officer Common stock, par value $0.001 per share 2013-08-05 4 A 0 20000 A 20000 D Stock Option (right to purchase) 7.29 2013-07-15 4 A 0 70000 0 A 2023-08-05 Common Stock, par value $0.001 per share 70000 70000 D On August 5, 2013, the commencement date (the "Commencement Date") of his employment with NeoStem, Inc. (the "Company"), the reporting person, Douglas W. Losordo, received a signing bonus consisting of 20,000 shares of the Company's common stock, par value, $.001, pursuant and subject to the terms and conditions of the Company's Amended & Restated 2009 Equity Compensation Plan. Additionally, on the Commencement Date, Dr. Losordo was granted an option to purchase 70,000 shares of the Company's common stock, par value $0.001 per share (the "Common Stock"), pursuant and subject to the terms and conditions of the Company's Amended & Restated 2009 Equity Compensation Plan. This option is scheduled to vest as to 20,000 shares on each of August 5, 2014 and August 5, 2015 and 30,000 shares on August 5, 2016, subject to the reporting person's continued employment. Douglas W. Losordo By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact 2013-08-07