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