0001144204-15-003386.txt : 20150122 0001144204-15-003386.hdr.sgml : 20150122 20150122210016 ACCESSION NUMBER: 0001144204-15-003386 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150116 FILED AS OF DATE: 20150122 DATE AS OF CHANGE: 20150122 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: BERMAN RICHARD J CENTRAL INDEX KEY: 0001111620 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 15543210 MAIL ADDRESS: STREET 1: 305 COLLEGE ROAD EAST CITY: PRINCETON STATE: NJ ZIP: 08540 4 1 v399336_4.xml OWNERSHIP DOCUMENT X0306 4 2015-01-16 0 0000320017 NeoStem, Inc. NBS 0001111620 BERMAN RICHARD J C/O NEOSTEM, INC. 420 LEXINGTON AVENUE, SUITE 350 NEW YORK NY 10170 1 0 0 0 Common stock, par value $0.001 per share 2015-01-16 4 A 0 10766 0 A 28766 D On January 16, 2015 (the "Grant Date"), the Reporting Person was granted an award of 10,766 shares of the Issuer's common stock, $.001 par value, subject to all of the terms and conditions of the Issuer's 2009 Amended & Restated Equity Compensation Plan. The grant was made as Board compensation. This award was fully vested on the Grant Date. Richard J. Berman By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact 2015-01-22