0001144204-12-051941.txt : 20120918 0001144204-12-051941.hdr.sgml : 20120918 20120918210255 ACCESSION NUMBER: 0001144204-12-051941 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120917 FILED AS OF DATE: 20120918 DATE AS OF CHANGE: 20120918 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: RimAsia Capital Partners Manager, Ltd. CENTRAL INDEX KEY: 0001554792 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 121098517 BUSINESS ADDRESS: STREET 1: 1807 HARBOUR CENTRE STREET 2: 25 HARBOUR ROAD CITY: WANCHAI STATE: K3 ZIP: F4 BUSINESS PHONE: 646-430-9066 MAIL ADDRESS: STREET 1: 1807 HARBOUR CENTRE STREET 2: 25 HARBOUR ROAD CITY: WANCHAI STATE: K3 ZIP: F4 FORMER NAME: FORMER CONFORMED NAME: RimAsia Capital Partners Manger, Ltd. DATE OF NAME CHANGE: 20120723 4 1 v324033_4.xml OWNERSHIP DOCUMENT X0306 4 2012-09-17 0 0000320017 NeoStem, Inc. NBS 0001554792 RimAsia Capital Partners Manager, Ltd. 1807 HARBOUR CENTRE 25 HARBOUR ROAD HONG KONG F4 CHINA 0 0 1 0 Common Stock, par value $0.001 per share 2012-09-17 4 S 0 30000 0.7052 D 105306 D Common Stock, par value $0.001 per share 22409874 I See footnote These 30,000 shares are being sold pursuant to a Rule 10b5-1 Sales Plan dated August 28, 2012, adopted by RimAsia Capital Partners Manager, Ltd. ("RimAsia Manager"), which is intended to comply with Rule 10b5-1. Reflects 22,409,874 shares of common stock owned by RimAsia Capital Partners, L.P. ("RimAsia LP"). Rim Asia Manager is the Fund Manager of RimAsia Capital Partners GP, L.P., a Cayman Islands exempted limited partnership ("RimAsia GP") and the Manager of RimAsia LP. RimAsia GP is the general partner of RimAsia LP. RimAsia Capital Partners GP, Ltd. ("RimAsia Ltd") is the general partner of RimAsia GP. Eric H.C. Wei, a member of the Company's board of directors, is the managing partner of RimAsia LP, an indirect partner of RimAsia GP, a director of RimAsia Ltd. and a director of RimAsia Manager. As a result, RimAsia Manager may be deemed to have sole power to vote certain of the securities held by RimAsia LP. RimAsia Manager disclaims beneficial ownership of such securities, except to the extent of its pecuniary interest therein. /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact; RimAsia Capital Partners Manager, Ltd. By: Eric H.C. Wei 2012-09-18