-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Bi+Wn9CUAMG72XTsWVaHkgG14id384ca4xRPFYND3EHhnctGzOpp8iVa493ZSV9l /kT8mAAF0JRAxTWbPSLPvQ== 0001209191-09-009772.txt : 20090217 0001209191-09-009772.hdr.sgml : 20090216 20090217174615 ACCESSION NUMBER: 0001209191-09-009772 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070809 FILED AS OF DATE: 20090217 DATE AS OF CHANGE: 20090217 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Clark John Smith II CENTRAL INDEX KEY: 0001378379 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 09616123 BUSINESS ADDRESS: BUSINESS PHONE: 212.692.6349 MAIL ADDRESS: STREET 1: 623 FIFTH AVENUE STREET 2: SUITE 2503 CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Butts Robert W CENTRAL INDEX KEY: 0001378433 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 09616124 BUSINESS ADDRESS: BUSINESS PHONE: 212.692.6349 MAIL ADDRESS: STREET 1: 623 FIFTH AVENUE STREET 2: SUITE 2503 CITY: NEW YORK STATE: NY ZIP: 10022 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 450 CITY: NEW YORK STATE: NY ZIP: 10170 BUSINESS PHONE: 212-584-4171 MAIL ADDRESS: STREET 1: 420 LEXINGTON AVENUE STREET 2: SUITE 450 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: Southpoint Capital Advisors LP CENTRAL INDEX KEY: 0001319998 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 09616128 BUSINESS ADDRESS: STREET 1: 237 PARK AVENUE STREET 2: SUITE 900 CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212.692.6350 MAIL ADDRESS: STREET 1: 237 PARK AVENUE STREET 2: SUITE 900 CITY: NEW YORK STATE: NY ZIP: 10017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Southpoint GP, LP CENTRAL INDEX KEY: 0001378376 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 09616127 BUSINESS ADDRESS: STREET 1: 623 FIFTH AVENUE STREET 2: SUITE 2503 CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212.692.6349 MAIL ADDRESS: STREET 1: 623 FIFTH AVENUE STREET 2: SUITE 2503 CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Southpoint Capital Advisors LLC CENTRAL INDEX KEY: 0001378377 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 09616126 BUSINESS ADDRESS: STREET 1: 623 FIFTH AVENUE STREET 2: SUITE 2503 CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212.692.6349 MAIL ADDRESS: STREET 1: 623 FIFTH AVENUE STREET 2: SUITE 2503 CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Southpoint GP, LLC CENTRAL INDEX KEY: 0001378378 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 09616125 BUSINESS ADDRESS: STREET 1: 623 FIFTH AVENUE STREET 2: SUITE 2503 CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212.692.6349 MAIL ADDRESS: STREET 1: 623 FIFTH AVENUE STREET 2: SUITE 2503 CITY: NEW YORK STATE: NY ZIP: 10022 3 1 c81332_3x0.xml MAIN DOCUMENT DESCRIPTION X0203 3 2007-08-09 0 0000320017 NeoStem, Inc. NBS 0001319998 Southpoint Capital Advisors LP 623 FIFTH AVENUE, SUITE 2601 NEW YORK NY 10022 0 0 1 0 0001378376 Southpoint GP, LP 623 FIFTH AVENUE, SUITE 2601 NEW YORK NY 10022 0 0 1 0 0001378377 Southpoint Capital Advisors LLC 623 FIFTH AVENUE, SUITE 2601 NEW YORK NY 10022 0 0 1 0 0001378378 Southpoint GP, LLC 623 FIFTH AVENUE, SUITE 2601 NEW YORK NY 10022 0 0 1 0 0001378433 Butts Robert W 623 FIFTH AVENUE, SUITE 2601 NEW YORK NY 10022 0 0 1 0 0001378379 Clark John Smith II 623 FIFTH AVENUE, SUITE 2601 NEW YORK NY 10022 0 0 1 0 Shares of Common Stock, par value $0.001 450000 I See Footnote Public Warrants 6.00 Common Stock 125000 I See Footnote Private Warrants 1.75 Common Stock 200000 I See Footnote The filing of this Form 3 shall not be construed as an admission that Southpoint Capital Advisors LLC, Southpoint GP, LLC, Southpoint Capital Advisors LP, Southpoint GP, LP, Robert W. Butts or John S. Clark II is or was for the purposes of Section 16(a) of the Securities Exchange act of 1934, as amended, or otherwise the beneficial owner of any of the shares of common stock of NeoStem, Inc. ("Common Stock") or warrants ("Warrants") owned by Southpoint Fund LP, Southpoint Qualified Fund LP, Southpoint Offshore Fund, Ltd. or Southpoint Master Fund, LP. Pursuant to Rule 16a-1, each of Southpoint Capital Advisors LLC, Southpoint GP, LLC, Southpoint Capital Advisors LP, Southpoint GP, LP, Robert W. Butts and John S. Clark II disclaim such beneficial ownership. Southpoint GP, LP, and its general partner Southpoint GP LLC, hold indirectly shares of Common Stock or Warrants on behalf of Southpoint Fund LP, Southpoint Qualified Fund LP, and Southpoint Master Fund, LP, of which Southpoint GP, LP is the general partner. Southpoint Capital Advisors LP, and its general partner Southpoint Capital Advisors LLC, hold indirectly shares of Common Stock or Warrants on behalf of Southpoint Fund LP, Southpoint Qualified Fund LP, Southpoint Master Fund, LP and Southpoint Offshore Fund, Ltd., for which Southpoint Capital Advisors LP serves as investment manager. Robert W. Butts and John S. Clark II report the shares held indirectly held by Southpoint GP LLC and Southpoint Capital Advisors LLC because, as the managers of Southpoint GP LLC and Southpoint Capital Advisors LLC at the time of purchase, they controlled the voting and disposition of the securities. The public warrants are immediately exercisable on a one-for-one basis into shares of Common Stock and expire on July 16, 2012. The private warrants are immediately exercisable on a one-for-one basis into shares of Common Stock and expire on September 1, 2013. /s/ Robert W. Butts, manager of Southpoint Capital Advisors LP 2008-02-28 /s/ Robert W. Butts, manager of Southpoint GP, LP 2008-02-28 /s/ Robert W. Butts, manager of Southpoint Capital Advisors, LLC 2008-02-28 /s/ Robert W. Butts, manager of Southpoint GP, LLC 2008-02-28 /s/ Robert W. Butts 2008-02-28 /s/ John S. Clark 2008-02-28 -----END PRIVACY-ENHANCED MESSAGE-----