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