0001144204-14-000573.txt : 20140103 0001144204-14-000573.hdr.sgml : 20140103 20140103210058 ACCESSION NUMBER: 0001144204-14-000573 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140102 FILED AS OF DATE: 20140103 DATE AS OF CHANGE: 20140103 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: Potter Stephen W CENTRAL INDEX KEY: 0001511991 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 14507896 MAIL ADDRESS: STREET 1: 7015 ALBERT EINSTEIN DR CITY: COLUMBIA STATE: MD ZIP: 21046 4 1 v364665_4.xml OWNERSHIP DOCUMENT X0306 4 2014-01-02 0 0000320017 NeoStem, Inc. NBS 0001511991 Potter Stephen W C/O NEOSTEM, INC. 420 LEXINGTON AVENUE, SUITE 350 NEW YORK NY 10170 0 1 0 0 Executive Vice President Stock Option (right to purchase) 7.77 2014-01-02 4 A 0 35000 0 A 2024-01-01 Common Stock, par value $0.001 per share 35000 35000 D On January 2, 2014 (the "Grant Date"), the Reporting Person was granted an option (the "Option") to purchase shares (the "Option Shares") of the Issuer's common stock, $.001 par value, subject to all of the terms and conditions of the Issuer's 2009 Amended & Restated Equity Compensation Plan. The Option vests as follows: (i) as to 25% of the Option Shares on the date of grant, (ii) as to 25% of the Option Shares on January 2, 2015, (iii) as to 25% of the Option Shares upon the achievement of a certain specified business milestone, and (iv) as to the remaining 25% of the Option Shares upon the achievement of an additional certain specified business milestone. /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact 2014-01-03