Filing Details
- Accession Number:
- 0001144204-10-009241
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-02-22 12:00:00
- Reporting Period:
- 2010-02-18
- Filing Date:
- 2010-02-22
- Accepted Time:
- 2010-02-22 15:36:04
- 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 |
|---|---|---|---|---|---|---|---|
| 1368570 | Eric Wei | C/O Neostem, Inc. 420 Lexington Avenue, Suite 450 New York NY 10170 | Yes | 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 | Acquisiton | 2010-02-18 | 125,000 | $0.00 | 11,583,009 | No | 4 | G | Indirect | See footnote |
| Common Stock, Par Value $0.001 Per Share | Acquisiton | 2010-02-18 | 740,741 | $1.35 | 12,323,750 | No | 4 | P | Indirect | See footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | G | Indirect | See footnote |
| No | 4 | P | Indirect | See footnote |
Footnotes
- On February 18, 2010, Mr. Wei transferred 125,000 shares of common stock, par value $0.001 per share ("Common Stock"), of NeoStem, Inc. (the "Company"), owned directly by Mr. Wei to RimAsia Capital Partners, L.P., a Cayman Islands exempted limited partnership ("RimAsia LP") for no consideration. Additionally, the pledge of 1,040,000 shares of Common Stock from Fullbright Finance Limited to RimAsia LP has been released.
- Such securities reported herein are held by RimAsia LP. RimAsia Capital Partners GP, L.P., a Cayman Islands exempted limited partnership ("RimAsia GP"), is the general partner of RimAsia LP. RimAsia Capital Partners GP, Ltd., a Cayman Islands exempted company ("RimAsia Ltd."), is the general partner of RimAsia GP. Mr. Wei is the managing partner of RimAsia LP, an indirect partner of RimAsia GP and a director of RimAsia Ltd. As a result, Mr. Wei may be deemed to have sole power to vote certain of the securities held by RimAsia LP. Mr. Wei disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein.
- Purchased by RimAsia LP in connection with a public offering of the Company's Common Stock.
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