0001144204-14-000582.txt : 20140103
0001144204-14-000582.hdr.sgml : 20140103
20140103210413
ACCESSION NUMBER: 0001144204-14-000582
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20131231
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: VACZY CATHERINE M
CENTRAL INDEX KEY: 0001177176
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33650
FILM NUMBER: 14507905
MAIL ADDRESS:
STREET 1: C/O PHASE III MEDICAL, INC.
STREET 2: 330 SOUTH SERVICE ROAD, SUITE 120
CITY: MELVILLE
STATE: NY
ZIP: 11747
4
1
v364664_4.xml
OWNERSHIP DOCUMENT
X0306
4
2013-12-31
0
0000320017
NeoStem, Inc.
NBS
0001177176
VACZY CATHERINE M
C/O NEOSTEM, INC.
420 LEXINGTON AVENUE, SUITE 350
NEW YORK
NY
10170
0
1
0
0
VP and General Counsel
Common Stock, $0.001 par value
2013-12-31
4
A
0
598
4.845
A
36085
D
Stock Options (right to purchase)
7.77
2014-01-02
4
A
0
45000
0
A
2024-01-01
Common Stock, par value $0.001 per share
45000
45000
D
Shares purchased pursuant to NeoStem, Inc.'s 2012 Employee Stock Purchase Plan for the period ended December 31, 2013.
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.
2014-01-03