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