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