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
  1. 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.