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