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