SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
RimAsia Capital Partners Manager, Ltd.

(Last) (First) (Middle)
1807 HARBOUR CENTRE
25 HARBOUR ROAD, WANCHAI

(Street)
HONG KONG F4

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
NeoStem, Inc. [ NBS ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
12/06/2013
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock, par value $0.001 per share 12/06/2013 S 434 D $6.35 2,253,084 (1) (2) (3) D (1) (2) (3)
Common Stock, par value $0.001 per share 12/09/2013 S 12,096 D $6.37 2,240,988 (1) (2) (3) D (1) (2) (3)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
1. Name and Address of Reporting Person*
RimAsia Capital Partners Manager, Ltd.

(Last) (First) (Middle)
1807 HARBOUR CENTRE
25 HARBOUR ROAD, WANCHAI

(Street)
HONG KONG F4

(City) (State) (Zip)
1. Name and Address of Reporting Person*
RimAsia Capital Partners, L.P.

(Last) (First) (Middle)
1807 HARBOUR CENTRE
25 HARBOUR ROAD, WANCHAI

(Street)
HONG KONG F4

(City) (State) (Zip)
1. Name and Address of Reporting Person*
RimAsia Capital Partners GP, L.P.

(Last) (First) (Middle)
1807 HARBOUR CENTRE
25 HARBOUR ROAD, WANCHAI

(Street)
HONG KONG F4

(City) (State) (Zip)
1. Name and Address of Reporting Person*
RimAsia Capital Partners GP, Ltd.

(Last) (First) (Middle)
1807 HARBOUR CENTRE
25 HARBOUR ROAD, WANCHAI

(Street)
HONG KONG F4

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Wei Eric

(Last) (First) (Middle)
1807 HARBOUR CENTRE
25 HARBOUR ROAD, WANCHAI

(Street)
HONG KONG F4

(City) (State) (Zip)
Explanation of Responses:
1. These securities are held as to 2,240,988 shares of Common Stock by RimAsia Capital Partners L.P., a Cayman Islands exempted limited partnership ("RimAsia LP"), and as to 3,000 shares of Common Stock by RimAsia Capital Partners Manager, Ltd., a Cayman Islands exempted company ("Rim Asia Manager") respectively.
2. This Form 4 is filed jointly by (a) RimAsia LP, (b) RimAsia Capital Partners GP, L.P. ("RimAsia GP"), the general partner of RimAsia LP, (c) RimAsia Capital Partners GP, Ltd. ("RimAsia Ltd."), the general partner of RimAsia GP, (d) RimAsia Manager, the Fund Manager of RimAsia GP and the Manager of RimAsia LP, and (e) Eric H.C. Wei, the managing partner of RimAsia LP, an indirect partner of RimAsia GP, a director of RimAsia Ltd. and a director of RimAsia Manager. All such reporting persons have the address noted in Item 1.
3. RimAsia GP, RimAsia Ltd., RimAsia Manager and Eric H.C. Wei disclaim beneficial ownership of the securities held by RimAsia LP, and RimAsia LP, RimAsia GP, RimAsia Ltd. and Eric H.C. Wei disclaim beneficial ownership of the securities held by RimAsia Manager, in each case except to the extent of any pecuniary interest therein, and the inclusion of these securities shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 of the Securities Exchange Act or for any other purpose.
RIMASIA CAPITAL PARTNERS, MANAGER, LTD. By: Eric H.C. Wei, Director By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact 12/09/2013
RIMASIA CAPITAL PARTNERS, L.P. By: Eric H.C. Wei, Managing Partner By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact 12/09/2013
RIMASIA CAPITAL PARTNERS GP, L.P. By: Eric H.C. Wei, Partner By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact 12/09/2013
RIMASIA CAPITAL PARTNERS GP, LTD. By: Eric H.C. Wei, Director By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact 12/09/2013
Eric H.C. Wei By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact 12/09/2013
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
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