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