0001144204-15-028560.txt : 20150507 0001144204-15-028560.hdr.sgml : 20150507 20150507210229 ACCESSION NUMBER: 0001144204-15-028560 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150429 FILED AS OF DATE: 20150507 DATE AS OF CHANGE: 20150507 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: Pecora Andrew L CENTRAL INDEX KEY: 0001510184 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 15843751 MAIL ADDRESS: STREET 1: C/O NEOSTEM, INC. STREET 2: 420 LEXINGTON AVENUE, SUITE 450 CITY: NEW YORK STATE: NY ZIP: 10170 4 1 v409243_4.xml OWNERSHIP DOCUMENT X0306 4 2015-04-29 0 0000320017 NeoStem, Inc. NBS 0001510184 Pecora Andrew L C/O NEOSTEM, INC. 420 LEXINGTON AVENUE, SUITE 350 NEW YORK NY 10170 1 0 0 0 Common Stock, $0.001 par value 2015-04-29 4 F 0 3917 2.87 D 341442 D Common Stock, $0.001 par value 2015-05-07 4 A 0 1308 2.38 A 342750 D Effective August 15, 2013, the Issuer's Board of Directors approved an arrangement whereby the Reporting Person shall receive a portion of his net salary through the issuance to him by the Issuer of shares of the Issuer's common stock, $.001 par value (the "Common Stock") at the then-market price at the time of issuance, under and subject to the terms and conditions of the Issuers' Amended & Restated 2009 Equity Compensation Plan (the "Plan"). Andrew L. Pecora By: /s/ Robin L. Smith, Attorney-in-Fact 2015-05-07