4/A//SEC Filing
Clark John Smith II 4/A
Accession 0001209191-09-033356
CIK 0000320017other
Filed
Jun 21, 8:00 PM ET
Accepted
Jun 22, 8:34 PM ET
Size
17.9 KB
Accession
0001209191-09-033356
Insider Transaction Report
Form 4/AAmended
Clark John Smith II
10% Owner
Transactions
- Sale
Common Stock
2009-06-18$2.03/sh−50,200$101,906→ 399,800 total(indirect: See Footnote)
Holdings
- 125,000(indirect: See Footnote)
Public Warrants
Exercise: $6.00→ Common Stock (125,000 underlying) - 200,000(indirect: See Footnote)
Private Warrants
Exercise: $1.75→ Common Stock (200,000 underlying)
Southpoint Capital Advisors LLC
10% Owner
Transactions
- Sale
Common Stock
2009-06-18$2.03/sh−50,200$101,906→ 399,800 total(indirect: See Footnote)
Holdings
- 200,000(indirect: See Footnote)
Private Warrants
Exercise: $1.75→ Common Stock (200,000 underlying) - 125,000(indirect: See Footnote)
Public Warrants
Exercise: $6.00→ Common Stock (125,000 underlying)
Butts Robert W
10% Owner
Transactions
- Sale
Common Stock
2009-06-18$2.03/sh−50,200$101,906→ 399,800 total(indirect: See Footnote)
Holdings
- 125,000(indirect: See Footnote)
Public Warrants
Exercise: $6.00→ Common Stock (125,000 underlying) - 200,000(indirect: See Footnote)
Private Warrants
Exercise: $1.75→ Common Stock (200,000 underlying)
Southpoint GP, LLC
10% Owner
Transactions
- Sale
Common Stock
2009-06-18$2.03/sh−50,200$101,906→ 399,800 total(indirect: See Footnote)
Holdings
- 125,000(indirect: See Footnote)
Public Warrants
Exercise: $6.00→ Common Stock (125,000 underlying) - 200,000(indirect: See Footnote)
Private Warrants
Exercise: $1.75→ Common Stock (200,000 underlying)
Southpoint Capital Advisors LP
10% Owner
Transactions
- Sale
Common Stock
2009-06-18$2.03/sh−50,200$101,906→ 399,800 total(indirect: See Footnote)
Holdings
- 200,000(indirect: See Footnote)
Private Warrants
Exercise: $1.75→ Common Stock (200,000 underlying) - 125,000(indirect: See Footnote)
Public Warrants
Exercise: $6.00→ Common Stock (125,000 underlying)
Southpoint GP, LP
10% Owner
Transactions
- Sale
Common Stock
2009-06-18$2.03/sh−50,200$101,906→ 399,800 total(indirect: See Footnote)
Holdings
- 200,000(indirect: See Footnote)
Private Warrants
Exercise: $1.75→ Common Stock (200,000 underlying) - 125,000(indirect: See Footnote)
Public Warrants
Exercise: $6.00→ Common Stock (125,000 underlying)
Footnotes (3)
- [F1]The filing of this Form 4 shall not be construed as an admission that Southpoint Capital Advisors LLC, Southpoint GP, LLC, Southpoint Capital Advisors LP, Southpoint GP, LP, Robert W. Butts or John S. Clark II is or was for the purposes of Section 16(a) of the Securities Exchange act of 1934, as amended, or otherwise the beneficial owner of any of the shares of common stock of NeoStem, Inc. ("Common Stock") or warrants ("Warrants") owned by Southpoint Fund LP, Southpoint Qualified Fund LP, Southpoint Offshore Fund, Ltd. or Southpoint Master Fund, LP. Pursuant to Rule 16a-1, each of Southpoint Capital Advisors LLC, Southpoint GP, LLC, Southpoint Capital Advisors LP, Southpoint GP, LP, Robert W. Butts and John S. Clark II disclaim such beneficial ownership.
- [F2]Southpoint GP, LP, and its general partner Southpoint GP LLC, hold indirectly shares of Common Stock or Warrants on behalf of Southpoint Fund LP, Southpoint Qualified Fund LP, and Southpoint Master Fund, LP, of which Southpoint GP, LP is the general partner. Southpoint Capital Advisors LP, and its general partner Southpoint Capital Advisors LLC, hold indirectly shares of Common Stock or Warrants on behalf of Southpoint Fund LP, Southpoint Qualified Fund LP, Southpoint Master Fund, LP and Southpoint Offshore Fund, Ltd., for which Southpoint Capital Advisors LP serves as investment manager. Robert W. Butts and John S. Clark II report the shares held indirectly held by Southpoint GP LLC and Southpoint Capital Advisors LLC because, as the managers of Southpoint GP LLC and Southpoint Capital Advisors LLC at the time of purchase, they controlled the voting and disposition of the securities.
- [F3]The public warrants are immediately exercisable on a one-for-one basis into shares of Common Stock and expire on July 16, 2012. The private warrants are immediately exercisable on a one-for-one basis into shares of Common Stock and expire on September 1, 2013.
Documents
Issuer
NeoStem, Inc.
CIK 0000320017
Entity typeother
Related Parties
1- filerCIK 0001378379
Filing Metadata
- Form type
- 4/A
- Filed
- Jun 21, 8:00 PM ET
- Accepted
- Jun 22, 8:34 PM ET
- Size
- 17.9 KB