0001144204-13-043732.txt : 20130807 0001144204-13-043732.hdr.sgml : 20130807 20130807210231 ACCESSION NUMBER: 0001144204-13-043732 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: Pecora Andrew L CENTRAL INDEX KEY: 0001510184 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 131019699 MAIL ADDRESS: STREET 1: C/O NEOSTEM, INC. STREET 2: 420 LEXINGTON AVENUE, SUITE 450 CITY: NEW YORK STATE: NY ZIP: 10170 4 1 v352253_4.xml OWNERSHIP DOCUMENT X0306 4 2013-08-05 0 0000320017 NeoStem, Inc. NBS 0001510184 Pecora Andrew L C/O NEOSTEM, INC. 420 LEXINGTON AVENUE, SUITE 350 NEW YORK NY 10170 1 1 0 0 Chief Visionary Officer Stock Option (right to purchase) 7.29 2013-08-05 4 A 0 27500 0 A 2023-08-05 Common Stock, par value $0.001 per share 27500 27500 D Pursuant to a letter agreement effective August 5, 2013 (the "Grant Date") between NeoStem, Inc. (the "Company") and Andrew L. Pecora, M.D., F.A.C.P. amending Dr. Pecora's employment agreement with the Company, whereby in lieu of serving as Chief Medical Officer of the Company, Dr. Pecora's position and title were changed to Chief Visionary Officer of the Company, on the Grant Date Dr. Pecora was granted an option to purchase 27,500 shares of the Company's common stock, subject to all of the terms and conditions of the Company's Amended and Restated 2009 Equity Compensation Plan. This option vested as to 5,000 shares on the Grant Date, and is scheduled to vest as to 5,000 shares on each of December 31, 2013, December 31, 2014 and 12,500 shares upon a specified business milestone, subject to the reporting person's continued employment. Andrew L. Pecora By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact 2013-08-07