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