Filing Details
- Accession Number:
- 0001144204-12-028185
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-05-11 19:01:03
- Reporting Period:
- 2012-05-11
- Filing Date:
- 2012-05-11
- Accepted Time:
- 2012-05-11 18:01:03
- 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 |
---|---|---|---|---|---|---|---|
1209727 | D Martyn Greenacre | C/O Neostem, Inc. 420 Lexington Avenue, Suite 450 New York NY 10170 | Yes | No | No | 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, $0.001 Par Value | Acquisiton | 2012-05-11 | 250,000 | $0.00 | 370,000 | No | 4 | P | Indirect | UBS Custodian for Martyn Greenacre IRA |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | UBS Custodian for Martyn Greenacre IRA |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock, Par Value $0.001 Per Share | Warrant (Right to Buy) | Acquisiton | 2012-05-11 | 250,000 | $0.00 | 250,000 | $0.51 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
250,000 | 2012-11-11 | 2017-05-10 | No | 4 | P | Indirect |
Footnotes
- Purchased by the Reporting Person's IRA in connection with a private placement of the Issuer's securities. Pursuant to the terms of this private placement, NeoStem, Inc., (the "Company") sold units (the "Units") at a per Unit price of $0.40, with each Unit consisting of (a) one share of the Company's common stock, $0.001 par value and (b) one warrant for the purchase of one share of common stock at an exercise price of $0.51 per share, subject to adjustment, expiring five years from the date of issuance and exercisable after a period of six months.