4//SEC Filing
Zhang Jian M 4
Accession 0001140361-10-023731
CIK 0000320017other
Filed
Jun 1, 8:00 PM ET
Accepted
Jun 2, 8:24 AM ET
Size
9.6 KB
Accession
0001140361-10-023731
Insider Transaction Report
Form 4
Zhang Jian M
See Remarks10% Owner
Transactions
- Exercise of In-Money
Common Stock, par value $0.001 per share
2010-06-01$1.75/sh+400,000$700,000→ 3,650,770 total(indirect: By corporation) - Exercise of In-Money
Warrant (right to buy)
2010-06-01−400,000→ 0 total(indirect: By corporation)Exercise: $1.75From: 2009-05-26Exp: 2013-11-25→ Common Stock, par value $0.001 per share (400,000 underlying)
Holdings
- 175,000
Common Stock, par value $0.001 per share
Footnotes (2)
- [F1]In connection with the warrant exercise reported herein, the Board of Directors of NeoStem, Inc. (the "Company") agreed to release the Company's security interest in such warrants.
- [F2]Fullbright Finance Limited, a corporation organized under the laws of the British Virgin Islands ("Fullbright"), exercised warrants on June 1, 2010. The reporting person and Mr. Shi Mingsheng are the principal shareholders of Fullbright and, as a result, the reporting person and Mr. Shi possess shared power to vote and to dispose of the securities of the Company held by Fullbright. Accordingly, for the purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, the reporting person is deemed to beneficially own the securities reported herein. The reporting person disclaims beneficial ownership of the securities reported herein, except to the extent of her pecuniary interest in Fullbright, if any.
Documents
Issuer
NeoStem, Inc.
CIK 0000320017
Entity typeother
Related Parties
1- filerCIK 0001399061
Filing Metadata
- Form type
- 4
- Filed
- Jun 1, 8:00 PM ET
- Accepted
- Jun 2, 8:24 AM ET
- Size
- 9.6 KB