0001144204-13-066606.txt : 20131210
0001144204-13-066606.hdr.sgml : 20131210
20131210210016
ACCESSION NUMBER: 0001144204-13-066606
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20131206
FILED AS OF DATE: 20131210
DATE AS OF CHANGE: 20131210
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: RimAsia Capital Partners Manager, Ltd.
CENTRAL INDEX KEY: 0001554792
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33650
FILM NUMBER: 131269586
BUSINESS ADDRESS:
STREET 1: 1807 HARBOUR CENTRE
STREET 2: 25 HARBOUR ROAD
CITY: WANCHAI
STATE: K3
ZIP: F4
BUSINESS PHONE: 646-430-9066
MAIL ADDRESS:
STREET 1: 1807 HARBOUR CENTRE
STREET 2: 25 HARBOUR ROAD
CITY: WANCHAI
STATE: K3
ZIP: F4
FORMER NAME:
FORMER CONFORMED NAME: RimAsia Capital Partners Manger, Ltd.
DATE OF NAME CHANGE: 20120723
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Wei Eric
CENTRAL INDEX KEY: 0001368570
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33650
FILM NUMBER: 131269587
MAIL ADDRESS:
STREET 1: SUITE 602, CHINA LIFE TOWER
STREET 2: 16 CHAOWAI DISTRICT
CITY: BEIJING
STATE: F4
ZIP: 100020
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RimAsia Capital Partners GP, Ltd.
CENTRAL INDEX KEY: 0001369126
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33650
FILM NUMBER: 131269588
BUSINESS ADDRESS:
STREET 1: 1302 BANK OF AMERICA TOWER
STREET 2: 12 HARCOURT ROAD
CITY: ADMIRALTY
STATE: K3
ZIP: 000000
BUSINESS PHONE: 852 2524 6100
MAIL ADDRESS:
STREET 1: 1302 BANK OF AMERICA TOWER
STREET 2: 12 HARCOURT ROAD
CITY: ADMIRALTY
STATE: K3
ZIP: 000000
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RimAsia Capital Partners GP, L.P.
CENTRAL INDEX KEY: 0001369125
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33650
FILM NUMBER: 131269589
BUSINESS ADDRESS:
STREET 1: 1302 BANK OF AMERICA TOWER
STREET 2: 12 HARCOURT ROAD
CITY: ADMIRALTY
STATE: K3
ZIP: 000000
BUSINESS PHONE: 852 2524 6100
MAIL ADDRESS:
STREET 1: 1302 BANK OF AMERICA TOWER
STREET 2: 12 HARCOURT ROAD
CITY: ADMIRALTY
STATE: K3
ZIP: 000000
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RimAsia Capital Partners, L.P.
CENTRAL INDEX KEY: 0001369127
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33650
FILM NUMBER: 131269590
BUSINESS ADDRESS:
STREET 1: 1302 BANK OF AMERICA TOWER
STREET 2: 12 HARCOURT ROAD
CITY: ADMIRALTY
STATE: K3
ZIP: 000000
BUSINESS PHONE: 852 2524 6100
MAIL ADDRESS:
STREET 1: 1302 BANK OF AMERICA TOWER
STREET 2: 12 HARCOURT ROAD
CITY: ADMIRALTY
STATE: K3
ZIP: 000000
4
1
v362683_4.xml
OWNERSHIP DOCUMENT
X0306
4
2013-12-06
0
0000320017
NeoStem, Inc.
NBS
0001554792
RimAsia Capital Partners Manager, Ltd.
1807 HARBOUR CENTRE
25 HARBOUR ROAD, WANCHAI
HONG KONG
F4
CHINA
0
0
1
0
0001369127
RimAsia Capital Partners, L.P.
1807 HARBOUR CENTRE
25 HARBOUR ROAD, WANCHAI
HONG KONG
F4
CHINA
0
0
1
0
0001369125
RimAsia Capital Partners GP, L.P.
1807 HARBOUR CENTRE
25 HARBOUR ROAD, WANCHAI
HONG KONG
F4
CHINA
0
0
1
0
0001369126
RimAsia Capital Partners GP, Ltd.
1807 HARBOUR CENTRE
25 HARBOUR ROAD, WANCHAI
HONG KONG
F4
CHINA
0
0
1
0
0001368570
Wei Eric
1807 HARBOUR CENTRE
25 HARBOUR ROAD, WANCHAI
HONG KONG
F4
CHINA
1
0
1
0
Common Stock, par value $0.001 per share
2013-12-06
4
S
0
434
6.35
D
2253084
D
Common Stock, par value $0.001 per share
2013-12-09
4
S
0
12096
6.37
D
2240988
D
These securities are held as to 2,240,988 shares of Common Stock by RimAsia Capital Partners L.P., a Cayman Islands exempted limited partnership ("RimAsia LP"), and as to 3,000 shares of Common Stock by RimAsia Capital Partners Manager, Ltd., a Cayman Islands exempted company ("Rim Asia Manager") respectively.
This Form 4 is filed jointly by (a) RimAsia LP, (b) RimAsia Capital Partners GP, L.P. ("RimAsia GP"), the general partner of RimAsia LP, (c) RimAsia Capital Partners GP, Ltd. ("RimAsia Ltd."), the general partner of RimAsia GP, (d) RimAsia Manager, the Fund Manager of RimAsia GP and the Manager of RimAsia LP, and (e) Eric H.C. Wei, the managing partner of RimAsia LP, an indirect partner of RimAsia GP, a director of RimAsia Ltd. and a director of RimAsia Manager. All such reporting persons have the address noted in Item 1.
RimAsia GP, RimAsia Ltd., RimAsia Manager and Eric H.C. Wei disclaim beneficial ownership of the securities held by RimAsia LP, and RimAsia LP, RimAsia GP, RimAsia Ltd. and Eric H.C. Wei disclaim beneficial ownership of the securities held by RimAsia Manager, in each case except to the extent of any pecuniary interest therein, and the inclusion of these securities shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 of the Securities Exchange Act or for any other purpose.
RIMASIA CAPITAL PARTNERS, MANAGER, LTD. By: Eric H.C. Wei, Director By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact
2013-12-09
RIMASIA CAPITAL PARTNERS, L.P. By: Eric H.C. Wei, Managing Partner By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact
2013-12-09
RIMASIA CAPITAL PARTNERS GP, L.P. By: Eric H.C. Wei, Partner By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact
2013-12-09
RIMASIA CAPITAL PARTNERS GP, LTD. By: Eric H.C. Wei, Director By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact
2013-12-09
Eric H.C. Wei By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact
2013-12-09