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