0001144204-15-003389.txt : 20150122
0001144204-15-003389.hdr.sgml : 20150122
20150122210213
ACCESSION NUMBER: 0001144204-15-003389
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150122
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: TRABER PETER G
CENTRAL INDEX KEY: 0001284500
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33650
FILM NUMBER: 15543214
MAIL ADDRESS:
STREET 1: 430 THAMER LANE
CITY: HOUSTON
STATE: TX
ZIP: 77025
4
1
v399318_4.xml
OWNERSHIP DOCUMENT
X0306
4
2015-01-22
0
0000320017
NeoStem, Inc.
NBS
0001284500
TRABER PETER G
C/O NEOSTEM, INC.
420 LEXINGTON AVENUE, SUITE 350
NEW YORK
NY
10170
1
0
0
0
Stock Option (right to purchase)
3.56
2015-01-22
4
A
0
26500
0
A
2025-01-21
Common Stock, par value $0.001 per share
26500
26500
D
Effective January 22, 2015 (the "Grant Date"), NeoStem, Inc. (the "Company") appointed Peter G. Traber, MD (the "Reporting Person") as a director of the Company and the Chair of its Science and Technology Committee. In connection with the appointment, the Reporting Person was granted an option to purchase 26,500 shares of the Company's common stock (the "Option"), subject to all of the terms and conditions of the Company's 2009 Amended & Restated Equity Compensation Plan and pursuant to the Company's Director Compensation Plan. The Option was fully vested on the Grant Date.
Peter G. Traber, MD By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact
2015-01-22