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