0001144204-14-015588.txt : 20140313
0001144204-14-015588.hdr.sgml : 20140313
20140313210025
ACCESSION NUMBER: 0001144204-14-015588
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140313
FILED AS OF DATE: 20140313
DATE AS OF CHANGE: 20140313
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: Pecora Andrew L
CENTRAL INDEX KEY: 0001510184
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33650
FILM NUMBER: 14692591
MAIL ADDRESS:
STREET 1: C/O NEOSTEM, INC.
STREET 2: 420 LEXINGTON AVENUE, SUITE 450
CITY: NEW YORK
STATE: NY
ZIP: 10170
4
1
v371590_4.xml
OWNERSHIP DOCUMENT
X0306
4
2014-03-13
0
0000320017
NeoStem, Inc.
NBS
0001510184
Pecora Andrew L
C/O NEOSTEM, INC.
420 LEXINGTON AVENUE, SUITE 350
NEW YORK
NY
10170
1
1
0
0
Chief Visionary Officer
Common Stock, $0.001 par value
2014-03-13
4
A
0
275
7.81
A
267604
D
Effective August 15, 2013, the Issuer's Board of Directors approved an arrangement whereby the Reporting Person shall receive a portion of his net salary through the issuance to him by the Issuer of shares of the Issuer's common stock, $.001 par value (the "Common Stock") at the then-market price at the time of issuance, under and subject to the terms and conditions of the Issuers' Amended & Restated 2009 Equity Compensation Plan (the "Plan").
Andrew L. Pecora By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact
2014-03-13