Filing Details

Accession Number:
0001144204-12-051941
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-09-18 21:02:55
Reporting Period:
2012-09-17
Filing Date:
2012-09-18
Accepted Time:
2012-09-18 21:02:55
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
320017 Neostem Inc. NBS Services-Misc Health & Allied Services, Nec (8090) 222343568
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1554792 Rimasia Capital Partners Manager, Ltd. 1807 Harbour Centre
25 Harbour Road
Hong Kong F4
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, Par Value $0.001 Per Share Disposition 2012-09-17 30,000 $0.71 105,306 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock, Par Value $0.001 Per Share 22,409,874 Indirect See footnote
Footnotes
  1. 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.
  2. Reflects 22,409,874 shares of common stock owned by RimAsia Capital Partners, L.P. ("RimAsia LP").
  3. 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.