0001144204-15-035635.txt : 20150604 0001144204-15-035635.hdr.sgml : 20150604 20150604210243 ACCESSION NUMBER: 0001144204-15-035635 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150602 FILED AS OF DATE: 20150604 DATE AS OF CHANGE: 20150604 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: BERNSTEIN DREW CENTRAL INDEX KEY: 0001466250 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 15914288 MAIL ADDRESS: STREET 1: C/O BERSTEIN & PINCHUK LLP STREET 2: SEVEN PENN PLAZA SUITE 830 CITY: NEW YORK STATE: NY ZIP: 10001 4 1 v412497_4.xml OWNERSHIP DOCUMENT X0306 4 2015-06-02 0 0000320017 NeoStem, Inc. NBS 0001466250 BERNSTEIN DREW 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 2015-06-02 4 A 0 10000 0 A 10000 D On June 2, 2015 (the "Grant Date"), the Reporting Person was granted an award of 10,000 shares of the Company's common stock (the "Shares"), subject to all of the terms and conditions of the Company's 2009 Equity Compensation Plan (the "Plan"). The Shares vest as follows: as to 25% of the shares on the Grant Date, and the remaining 75% shall vest quarterly over a period of thirty-six months from the Grant Date. Drew Bernstein, By: /s/ Paige E. Cooperman, Esq., Attorney-In-Fact 2015-06-04 EX-24.1 2 v412497_ex24-1.htm POWER OF ATTORNEY

Exhibit 24.1

 

POWER OF ATTORNEY

 

Known by all those present that Drew Bernstein hereby constitutes and appoints each of Paige E. Cooperman, Esq., Robert S Vaters, Neil Torpey, Esq., and Keith Pisani, Esq., as his true and lawful attorneys-in-fact with respect to NeoStem, Inc., to:

 

1.execute for and on behalf of the undersigned Schedules 13D and 13G, Form ID, and Forms 3, 4 and 5 in accordance with Sections 13 and 16(a) of the Securities Exchange Act of 1934 and the rules thereunder;

 

2.do and perform any and all acts for and on behalf of the undersigned, which may be necessary or desirable to complete the execution of any such Schedules 13D or 13G, Form ID, and Forms 3, 4 and 5, and the timely filing of such forms with the United States Securities and Exchange Commission and any other authority; and

 

3.take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, including without limitation the execution and filing of a Form 4 with respect to a transaction which may be reported on a Form 5, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions and such attorney-in-fact may approve in his discretion.

 

The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform all and every act and thing whatsoever requisite, necessary and proper to be done in the exercise of any of the rights and powers herein granted, as fully and to all intents and purposes as he might or could do in person, with full power of substitution and resubstitution, hereby ratifying and confirming all that such attorney-in-fact, or his substitute or substitutes, shall lawfully do or cause to be done in virtue of this Power of Attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming any of the undersigned’s responsibilities to comply with Sections 13 and 16 of the Securities Exchange Act of 1934.

 

IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 3rd day of June 2015.

 

Drew Bernstein

 

 

/s/ Drew Bernstein