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LISATA THERAPEUTICS, INC. — Director's Dealing 2012
Nov 26, 2012
34931_dirs_2012-11-26_7dd0cdb0-68ef-4d89-893a-1c8bf44b9e36.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: NeoStem, Inc. (NBS)
CIK: 0000320017
Period of Report: 2012-11-21
Reporting Person: Pecora Andrew L (Director, Chief Medical Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-11-26 | Common Stock, $0.001 par value | A | 6934 | $0.67 | Acquired | 2053389 | Direct |
| 2012-11-26 | Common Stock, $0.001 par value | A | 4786 | $0.7084 | Acquired | 2058175 | Direct |
Footnotes
F1: On August 20, 2012, the Issuer's Board of Directors approved an arrangement whereby the Reporting Person shall receive his net salary for his three out of five day workweek through the issuance to him by the Issuer of shares of the Issuer's common stock at the then-market price at the time of issuance, under and subject to the terms and conditions of the Issuers' 2009 Equity Compensation Plan. Accordingly, 6,934 shares were issued to the Reporting Person for the most recent pay period and 4,786 shares were issued to account for a shortfall for prior periods at a weighted average price for the prior periods.