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4//SEC Filing

May Larry Alan 4

Accession 0001140361-09-024366

CIK 0000320017other
View on SEC.govCompany Profile

Filed

Nov 1, 7:00 PM ET

Accepted

Nov 2, 6:46 PM ET

Size

38.5 KB

Accession

0001140361-09-024366

Insider Transaction Report

Form 4
Period: 2009-10-29
NeoStem, Inc.NBS
May Larry Alan
Chief Financial Officer
Transactions
  • Award

    Stock Options (right to buy)

    2009-10-30+1,500→ 1,500 total
    Exercise: $1.90Exp: 2016-01-18→ Common Stock, par value $0.001 per share (1,500 underlying)
  • Disposition to Issuer

    Stock Options (right to buy)

    2009-10-30−10,000→ 0 total
    Exercise: $5.30Exp: 2016-06-01→ Common Stock, par value $0.001 per share (10,000 underlying)
  • Award

    Stock Options (right to buy)

    2009-10-30+20,000→ 20,000 total
    Exercise: $1.90Exp: 2016-12-04→ Common Stock, par value $0.001 per share (20,000 underlying)
  • Award

    Stock Options (right to buy)

    2009-10-30+41,476→ 41,476 total
    Exercise: $1.90Exp: 2016-10-29→ Common Stock, par value $0.001 per share (41,476 underlying)
  • Award

    Stock Options (right to buy)

    2009-10-30+3,000→ 3,000 total
    Exercise: $1.90Exp: 2013-09-10→ Common Stock, par value $0.001 per share (3,000 underlying)
  • Disposition to Issuer

    Stock Options (right to buy)

    2009-10-30−1,500→ 0 total
    Exercise: $5.00Exp: 2016-01-18→ Common Stock, par value $0.001 per share (1,500 underlying)
  • Disposition to Issuer

    Stock Options (right to buy)

    2009-10-30−20,000→ 0 total
    Exercise: $6.00Exp: 2016-12-04→ Common Stock, par value $0.001 per share (20,000 underlying)
  • Award

    Stock Options (right to buy)

    2009-10-30+10,000→ 10,000 total
    Exercise: $1.90Exp: 2016-06-01→ Common Stock, par value $0.001 per share (10,000 underlying)
  • Award

    Stock Options (right to buy)

    2009-10-30+1,000→ 1,000 total
    Exercise: $1.90Exp: 2014-11-14→ Common Stock, par value $0.001 per share (1,000 underlying)
  • Award

    Stock Options (right to buy)

    2009-10-29+150,000→ 150,000 total
    Exercise: $2.04Exp: 2019-10-28→ Common Stock, par value $0.001 per share (150,000 underlying)
  • Disposition to Issuer

    Stock Options (right to buy)

    2009-10-30−3,000→ 0 total
    Exercise: $18.00Exp: 2013-09-10→ Common Stock, par value $0.001 per share (3,000 underlying)
  • Disposition to Issuer

    Stock Options (right to buy)

    2009-10-30−1,000→ 0 total
    Exercise: $10.00Exp: 2014-11-14→ Common Stock, par value $0.001 per share (1,000 underlying)
Footnotes (9)
  • [F1]Effective on October 29, 2009, the date of grant, the reporting person was granted an option to purchase 150,000 shares of common stock of NeoStem, Inc. (the "Company"), pursuant and subject to the Company's 2009 Equity Compensation Plan. The option vests in its entirety on the date of grant.
  • [F2]Each pair of reported transactions involved an amendment of the exercise price of an option outstanding under the Company's 2003 Equity Participation Plan (the "2003 Plan") resulting in the deemed cancellation of the "old" option and the grant of a replacement option pursuant and subject to the Company's 2003 Plan, as amended. In each case the expiration date and vesting schedule have been maintained. The amendment to the exercise price was effected pursuant to approval received from the Company's stockholders ("Stockholder Approval") at its Special Meeting of Stockholders held on October 29, 2009 (the "Special Meeting") and as described in the Company's Proxy Statement/Prospectus on Form S-4/A filed with the Securities and Exchange Commission on October 6, 2009 (the "Form S-4").
  • [F3]The option was granted on September 11, 2003 and vested in its entirety upon the date of grant.
  • [F4]The option was originally granted to the reporting person pursuant to and subject to the 2003 Plan on November 15, 2004 and vested in its entirety upon such date of grant.
  • [F5]The option was granted on January 19, 2006 and became fully vested on June 2, 2006.
  • [F6]The option was granted on June 2, 2006 and became fully vested on October 31, 2008, upon the achievement of a business milestone.
  • [F7]The option was granted on December 5, 2006 and (i) vested as to 5,000 shares on August 8, 2007, upon the achievement of a business milestone, (ii) is scheduled to vest as to an additional 5,000 shares upon the achievement of a separate business milestone, and (iii) is scheduled to vest as to the remaining 10,000 shares upon the achievement of a separate business milestone.
  • [F8]The option was granted on September 27, 2007 and vested as to (i) 5,000 shares upon the date of grant; (ii) 5,000 shares on March 28, 2008, upon the achievement of a business milestone; and (iii) 5,000 shares on October 30, 2009, upon the consummation of the merger of China Biopharmaceuticals Holdings, Inc. with and into CBH Acquisition LLC, a wholly-owned subsidiary of the Company. It is scheduled to vest as to the remaining 5,000 shares upon the achievement of a separate business milestone.
  • [F9]Effective on October 30, 2009, the reporting person was granted an option to purchase 41,476 shares of common stock of the Company, pursuant and subject to the Company's 2009 Equity Compensation Plan and Stockholder Approval received at the Special Meeting to issue discretionary grants in connection with the option repricing as described in the Form S-4. This option vested in its entirety as to 31,620 shares on the date of grant and an aggregate of 9,856 shares will vest upon the achievement of business milestones.

Documents

1 file

Issuer

NeoStem, Inc.

CIK 0000320017

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Entity typeother

Related Parties

1
  • filerCIK 0001354850

Filing Metadata

Form type
4
Filed
Nov 1, 7:00 PM ET
Accepted
Nov 2, 6:46 PM ET
Size
38.5 KB
View on SEC.gov