0001144204-15-000231.txt : 20150102 0001144204-15-000231.hdr.sgml : 20150102 20150102210039 ACCESSION NUMBER: 0001144204-15-000231 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150102 FILED AS OF DATE: 20150102 DATE AS OF CHANGE: 20150102 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: Wei Eric CENTRAL INDEX KEY: 0001368570 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 15502382 MAIL ADDRESS: STREET 1: SUITE 602, CHINA LIFE TOWER STREET 2: 16 CHAOWAI DISTRICT CITY: BEIJING STATE: F4 ZIP: 100020 4 1 v397940_form4.xml FORM 4 X0306 4 2015-01-02 0 0000320017 NeoStem, Inc. NBS 0001368570 Wei Eric C/O NEOSTEM, INC. 420 LEXINGTON AVENUE, SUITE 350 NEW YORK NY 10170 1 0 1 0 Common Stock, par value $0.001 per share 2015-01-02 4 A 0 12000 0 A 12000 D Common Stock, par value $0.001 per share 2210988 I See footnotes On January 2, 2015 (the "Grant Date"), Mr. Wei was granted an award of 12,000 shares of the Issuer's common stock, par value $0.001 per share ("Common Stock"), subject to all of the terms and conditions of the Issuer's 2009 Amended & Restated Equity Compensation Plan and pursuant to the Issuer's Director Compensation Plan. The award was fully vested on the Grant Date. These securities are held as to 2,210,988 shares of Common Stock by RimAsia Capital Partners L.P., a Cayman Islands exempted limited partnership ("RimAsia LP"). RimAsia Capital Partners GP, L.P., a Cayman Islands exempted limited partnership ("RimAsia GP"), is the general partner of RimAsia LP. RimAsia Manager is the Fund Manager of RimAsia GP and the Manager of RimAsia LP. Mr. Wei is the managing partner of RimAsia LP, an indirect partner of RimAsia GP, a director of RimAsia Capital Partners GP, Ltd. and a director of RimAsia Manager. As a result, Mr. Wei may be deemed to have sole power to vote certain of the securities held by RimAsia LP and RimAsia Manager. Mr. Wei disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, and the inclusion of these securities shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 of the Securities Exchange Act or for any other purpose. Eric H.C. Wei, By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact 2015-01-02