0001144204-14-000585.txt : 20140103 0001144204-14-000585.hdr.sgml : 20140103 20140103210738 ACCESSION NUMBER: 0001144204-14-000585 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: BERNSTEIN DREW CENTRAL INDEX KEY: 0001466250 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 14507913 MAIL ADDRESS: STREET 1: C/O BERSTEIN & PINCHUK LLP STREET 2: SEVEN PENN PLAZA SUITE 830 CITY: NEW YORK STATE: NY ZIP: 10001 4 1 v364670_4.xml OWNERSHIP DOCUMENT X0306 4 2014-01-02 0 0000320017 NeoStem, Inc. NBS 0001466250 BERNSTEIN DREW C/O NEOSTEM, INC. 420 LEXINGTON AVENUE, SUITE 350 NEW YORK NY 10170 1 0 0 0 Stock Option (Right to Buy) 7.77 2014-01-02 4 A 0 28000 A 2024-01-01 Common stock, par value $0.001 per share 28000 28000 D On January 2, 2014 (the "Grant Date"), the Reporting Person was granted an option to purchase 28,000 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 grant was made pursuant to the Issuer's Director Compensation Plan. This option was fully vested on the Grant Date. /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact 2014-01-03