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