0001144204-15-033027.txt : 20150521 0001144204-15-033027.hdr.sgml : 20150521 20150521210056 ACCESSION NUMBER: 0001144204-15-033027 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150519 FILED AS OF DATE: 20150521 DATE AS OF CHANGE: 20150521 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: Preti Robert A CENTRAL INDEX KEY: 0001510186 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 15884360 MAIL ADDRESS: STREET 1: C/O NEOSTEM, INC. STREET 2: 420 LEXINGTON AVENUE, SUITE 450 CITY: NEW YORK STATE: NY ZIP: 10170 4 1 v411463_4.xml OWNERSHIP DOCUMENT X0306 4 2015-05-19 0 0000320017 NeoStem, Inc. NBS 0001510186 Preti Robert A C/O NEOSTEM, INC. 420 LEXINGTON AVENUE, SUITE 350 NEW YORK NY 10170 0 1 0 0 See Remarks Common stock, $0.001 par value 2015-05-19 4 A 0 520 0 A 190954 D Represents the Reporting Person's one third percentage of the contingent shares of common stock, par value $0.001 per share, of NeoStem, Inc. (the "Company"), which was issued in accordance with the terms of the Agreement and Plan of Merger, dated July 13, 2011, between the Company and Amorcyte, Inc. (the "Merger Agreement"). Chief Scientific Officer, NeoStem, and President of Progenitor Cell Therapy, LLC, a wholly-owned subsidiary of the Issuer. Robert A. Preti By: /s/ Paige E. Cooperman, Esq., Attorney-in-Fact 2015-05-21