0001144204-14-046550.txt : 20140801 0001144204-14-046550.hdr.sgml : 20140801 20140801210201 ACCESSION NUMBER: 0001144204-14-046550 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140801 FILED AS OF DATE: 20140801 DATE AS OF CHANGE: 20140801 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 350 CITY: NEW YORK STATE: NY ZIP: 10170 BUSINESS PHONE: 212-584-4171 MAIL ADDRESS: STREET 1: 420 LEXINGTON AVENUE STREET 2: SUITE 350 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: 141011283 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 v385556_4.xml OWNERSHIP DOCUMENT X0306 4 2014-08-01 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 General Counsel Common Stock, $0.001 par value 2014-08-01 4 A 0 11756 0 A 48397 D Stock Option (right to purchase) 6.21 2014-08-01 4 A 0 25000 0 A 2014-08-01 2024-07-31 Common Stock, par value $0.001 per share 25000 25000 D On August 1, 2014, the Reporting Person was granted an option (the "Option") to purchase 25,000 shares of the Issuer's common stock (the "Option Shares"), $.001 par value (the "Common Stock"), subject to all terms and conditions of the Issuer's 2009 Amended & Restated Equity Compensation Plan (the "Plan"). Also on August 1, 2014, the Reporting Person was granted an award of 11,756 shares of Common Stock (the "Shares"), subject to all of the terms and conditions of the Plan. The Option and Shares were fully vested upon grant and the withholding taxes associated with the Shares are being paid by the Company. The award was approved by the Compensation Committee as a bonus for the successful completion of the acquisition of California Stem Cell, Inc. ("CSC") by the Issuer. /s/ Catherine M. Vaczy, Esq. 2014-08-01