0001144204-13-007938.txt : 20130212
0001144204-13-007938.hdr.sgml : 20130212
20130212210417
ACCESSION NUMBER: 0001144204-13-007938
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130211
FILED AS OF DATE: 20130212
DATE AS OF CHANGE: 20130212
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Potter Stephen W
CENTRAL INDEX KEY: 0001511991
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33650
FILM NUMBER: 13599286
MAIL ADDRESS:
STREET 1: 7015 ALBERT EINSTEIN DR
CITY: COLUMBIA
STATE: MD
ZIP: 21046
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
4
1
v334876_4.xml
OWNERSHIP DOCUMENT
X0306
4
2013-02-11
0
0000320017
NeoStem, Inc.
NBS
0001511991
Potter Stephen W
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
2013-02-11
4
A
0
60000
A
60000
D
Stock Option (right to purchase)
0.64
2013-02-11
4
A
0
93500
A
2023-02-10
Common Stock, par value $0.001 per share
93500
93500
D
Effective February 11, 2013 (the "Grant Date"), NeoStem, Inc. (the "Company") appointed Stephen W. Potter (the "Reporting Person") as a director of the Company. In connection with the appointment, the Reporting Person was granted 60,000 shares of common stock (the "Shares") of the Company and an option to purchase 93,500 shares of the Company's common stock (the "Option"), subject to all of the terms and conditions of the Company's 2009 Amended & Restated Equity Compensation Plan and pursuant to the Company's Director Compensation Plan. The Shares and Option were fully vested on the Grant Date.
Stephen W. Potter By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact
2013-02-12