0001144204-15-000634.txt : 20150105
0001144204-15-000634.hdr.sgml : 20150105
20150105210035
ACCESSION NUMBER: 0001144204-15-000634
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150102
FILED AS OF DATE: 20150105
DATE AS OF CHANGE: 20150105
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: Smith Robin L
CENTRAL INDEX KEY: 0001365035
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33650
FILM NUMBER: 15507953
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
v398083_4.xml
OWNERSHIP DOCUMENT
X0306
4
2015-01-02
0
0000320017
NeoStem, Inc.
NBS
0001365035
Smith Robin L
C/O NEOSTEM, INC.
420 LEXINGTON AVENUE, SUITE 350
NEW YORK
NY
10170
1
1
0
0
Exec. Chairman of the Board
Stock Option (right to purchase)
3.73
2015-01-02
4
A
0
300000
0
A
2025-01-01
Common Stock, par value $0.001 per share
300000
300000
D
In connection with her entry into an amendment of her employment agreement, the reporting person, Robin L. Smith, M.D., was granted, on January 2, 2015, an option (the "Option") to purchase 300,000 shares of the common stock, par value $0.001 per share ("Common Stock"), of NeoStem, Inc. (the "Company"), pursuant and subject to the terms and conditions of the Company's Amended and Restated 2009 Equity Compensation Plan (the "2009 Plan"). The Option was vested as to 100,000 Option shares immediately upon grant, with the remainder of the Option scheduled to vest as to 100,000 Option shares on June 7, 2015 and as to the remaining 100,000 Option shares on December 7, 2015.
/s/ Catherine M. Vaczy, Esq., Attorney-In-Fact
2015-01-05