0001144204-15-000639.txt : 20150105 0001144204-15-000639.hdr.sgml : 20150105 20150105210236 ACCESSION NUMBER: 0001144204-15-000639 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150105 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: Mazzo David J CENTRAL INDEX KEY: 0001334549 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 15507970 MAIL ADDRESS: STREET 1: 11388 SORRENTO VALLEY ROAD CITY: SAN DIEGO STATE: CA ZIP: 92121 4 1 v398086_4.xml OWNERSHIP DOCUMENT X0306 4 2015-01-05 0 0000320017 NeoStem, Inc. NBS 0001334549 Mazzo David J C/O NEOSTEM, INC. 420 LEXINGTON AVENUE, SUITE 350 NEW YORK NY 10170 1 1 0 0 Chief Executive Officer Stock Option (right to purchase) 3.50 2015-01-05 4 A 0 620000 0 A 2025-01-04 Common Stock, par value $0.001 per share 620000 620000 D Stock Option (right to purchase) 3.50 2015-01-05 4 A 0 200000 0 A 2025-01-04 Common Stock, par value $0.001 per share 200000 200000 D On January 5, 2015, the commencement date (the "Commencement Date") of his employment with NeoStem, Inc. (the "Company"), the reporting person, David J. Mazzo, Ph.D., was granted an option (the "Initial Option") to purchase 620,000 shares of the Company's common stock, par value $0.001 per share ("Common Stock"), pursuant and subject to the terms and conditions of the Company's Amended and Restated 2009 Equity Compensation Plan (the "2009 Plan"). The Initial Option was vested as to 100,000 shares immediately upon grant with the remainder of the Initial Option shares scheduled to vest subject to Dr. Mazzo's continued employment in a series of sixteen successive quarterly installments (32,500 shares each) over the four years following the Commencement Date. Additionally, on the Commencement Date, Dr. Mazzo was granted an additional option (the "Additional Option") to purchase 200,000 shares of Common Stock, pursuant and subject to the terms and conditions of the 2009 Plan. The Additional Option provides for vesting based on two individual milestones (100,000 Additional Option shares each) to be mutually established by the Compensation Committee (or the Executive Chairman) and Dr. Mazzo within three months following the Commencement Date subject to Dr. Mazzo's continued employment on each of the applicable 1/16th milestone vesting dates. /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact 2015-01-05