0001144204-13-040025.txt : 20130717 0001144204-13-040025.hdr.sgml : 20130717 20130717210034 ACCESSION NUMBER: 0001144204-13-040025 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130715 FILED AS OF DATE: 20130717 DATE AS OF CHANGE: 20130717 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: Potter Stephen W CENTRAL INDEX KEY: 0001511991 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 13973737 MAIL ADDRESS: STREET 1: 7015 ALBERT EINSTEIN DR CITY: COLUMBIA STATE: MD ZIP: 21046 4 1 v350221_4.xml OWNERSHIP DOCUMENT X0306 4 2013-07-15 0 0000320017 NeoStem, Inc. NBS 0001511991 Potter Stephen W C/O NEOSTEM, INC. 420 LEXINGTON AVENUE, SUITE 350 NEW YORK NY 10170 0 1 0 0 Executive Vice President Stock Option (right to purchase) 5.80 2013-07-15 4 A 0 30000 0 A 2023-07-14 Common Stock, par value $0.001 per share 30000 30000 D On July 15, 2013, the commencement date (the "Commencement Date") of his employment with NeoStem, Inc. (the "Company"), the reporting person, Stephen Potter, a former director of the Company, was granted an option to purchase 30,000 shares of the Company's common stock, par value $0.001 per share (the "Common Stock"), pursuant and subject to the terms and conditions of the Company's Amended & Restated 2009 Equity Compensation Plan. This option is scheduled to vest as to 10,000 shares on each of July 15, 2014, July 15, 2015 and upon a specified business milestone, subject to the reporting person's continued employment. Stephen W. Potter By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact 2013-07-17