0001144204-15-000233.txt : 20150102 0001144204-15-000233.hdr.sgml : 20150102 20150102210114 ACCESSION NUMBER: 0001144204-15-000233 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: 15502385 MAIL ADDRESS: STREET 1: SUITE 602, CHINA LIFE TOWER STREET 2: 16 CHAOWAI DISTRICT CITY: BEIJING STATE: F4 ZIP: 100020 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RimAsia Capital Partners GP, Ltd. CENTRAL INDEX KEY: 0001369126 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 15502386 BUSINESS ADDRESS: STREET 1: 1302 BANK OF AMERICA TOWER STREET 2: 12 HARCOURT ROAD CITY: ADMIRALTY STATE: K3 ZIP: 000000 BUSINESS PHONE: 852 2524 6100 MAIL ADDRESS: STREET 1: 1302 BANK OF AMERICA TOWER STREET 2: 12 HARCOURT ROAD CITY: ADMIRALTY STATE: K3 ZIP: 000000 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RimAsia Capital Partners GP, L.P. CENTRAL INDEX KEY: 0001369125 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 15502387 BUSINESS ADDRESS: STREET 1: 1302 BANK OF AMERICA TOWER STREET 2: 12 HARCOURT ROAD CITY: ADMIRALTY STATE: K3 ZIP: 000000 BUSINESS PHONE: 852 2524 6100 MAIL ADDRESS: STREET 1: 1302 BANK OF AMERICA TOWER STREET 2: 12 HARCOURT ROAD CITY: ADMIRALTY STATE: K3 ZIP: 000000 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RimAsia Capital Partners, L.P. CENTRAL INDEX KEY: 0001369127 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 15502388 BUSINESS ADDRESS: STREET 1: 1302 BANK OF AMERICA TOWER STREET 2: 12 HARCOURT ROAD CITY: ADMIRALTY STATE: K3 ZIP: 000000 BUSINESS PHONE: 852 2524 6100 MAIL ADDRESS: STREET 1: 1302 BANK OF AMERICA TOWER STREET 2: 12 HARCOURT ROAD CITY: ADMIRALTY STATE: K3 ZIP: 000000 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RimAsia Capital Partners Manager, Ltd. CENTRAL INDEX KEY: 0001554792 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 15502389 BUSINESS ADDRESS: STREET 1: 1807 HARBOUR CENTRE STREET 2: 25 HARBOUR ROAD CITY: WANCHAI STATE: K3 ZIP: F4 BUSINESS PHONE: 646-430-9066 MAIL ADDRESS: STREET 1: 1807 HARBOUR CENTRE STREET 2: 25 HARBOUR ROAD CITY: WANCHAI STATE: K3 ZIP: F4 FORMER NAME: FORMER CONFORMED NAME: RimAsia Capital Partners Manger, Ltd. DATE OF NAME CHANGE: 20120723 4 1 v397952_form4.xml FORM 4 X0306 4 2015-01-02 0 0000320017 NeoStem, Inc. NBS 0001554792 RimAsia Capital Partners Manager, Ltd. 1807 HARBOUR CENTRE 25 HARBOUR ROAD, WANCHAI HONG KONG F4 CHINA 1 0 1 0 0001369127 RimAsia Capital Partners, L.P. 1807 HARBOUR CENTRE 25 HARBOUR ROAD, WANCHAI HONG KONG F4 CHINA 1 0 1 0 0001369125 RimAsia Capital Partners GP, L.P. 1807 HARBOUR CENTRE 25 HARBOUR ROAD, WANCHAI HONG KONG F4 CHINA 1 0 1 0 0001369126 RimAsia Capital Partners GP, Ltd. 1807 HARBOUR CENTRE 25 HARBOUR ROAD, WANCHAI HONG KONG F4 CHINA 1 0 1 0 0001368570 Wei Eric 1807 HARBOUR CENTRE 25 HARBOUR ROAD, WANCHAI HONG KONG F4 CHINA 1 0 1 0 Common Stock, par value $0.001 per share 2015-01-02 5 G 0 E 12000 A 2222988 D On January 2, 2015, Eric H.C. Wei transferred 12,000 shares of common stock, par value $0.001 per share ("Common Stock"), of NeoStem, Inc. (the "Company"), owned directly by Mr. Wei to RimAsia Capital Partners Manager, Ltd., a Cayman Islands exempted limited company ("RimAsia Manager") for no consideration. These securities are held as to 2,224,928 shares of Common Stock by RimAsia Capital Partners L.P., a Cayman Islands exempted limited partnership ("RimAsia LP"), and as to 12,000 shares of Common Stock by RimAsia Manager. This Form 4 is filed jointly by (a) RimAsia LP, (b) RimAsia Capital Partners GP, L.P. ("RimAsia GP"), the general partner of RimAsia LP, (c) RimAsia Capital Partners GP, Ltd. ("RimAsia Ltd."), the general partner of RimAsia GP, (d) RimAsia Manager, the Fund Manager of RimAsia GP and the Manager of RimAsia LP, and (e) Eric H.C. Wei, the managing partner of RimAsia LP, an indirect partner of RimAsia GP, a director of RimAsia Ltd. and a director of RimAsia Manager. All such reporting persons have the address noted in Item 1. RimAsia GP, RimAsia Ltd., RimAsia Manager and Eric H.C. Wei disclaim beneficial ownership of the securities held by RimAsia LP, and RimAsia LP, RimAsia GP, RimAsia Ltd. and Eric H.C. Wei disclaim beneficial ownership of the securities held by RimAsia Manager, in each case except to the extent of any 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. RIMASIA CAPITAL PARTNERS MANAGER, LTD., By: Eric H.C. Wei, Director, By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact 2015-01-02 RIMASIA CAPITAL PARTNERS, L.P., By: Eric H.C. Wei, Managing Partner, By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact 2015-01-02 RIMASIA CAPITAL PARTNERS GP, L.P., By: Eric H.C. Wei, Partner, By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact 2015-01-02 RIMASIA CAPITAL PARTNERS GP, LTD., By: Eric H.C. Wei, Director, By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact 2015-01-02 ERIC H.C. WEI, By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact 2015-01-02