LISATA THERAPEUTICS, INC. — Director's Dealing 2012

Jul 23, 2012

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: NeoStem, Inc. (NBS)
CIK: 0000320017
Period of Report: 2012-07-20

Reporting Person: RimAsia Capital Partners, L.P. (Director, 10% Owner)
Reporting Person: RimAsia Capital Partners GP, L.P. (Director, 10% Owner)
Reporting Person: RimAsia Capital Partners GP, Ltd. (Director, 10% Owner)
Reporting Person: RimAsia Capital Partners Manager, Ltd. (Director, 10% Owner)
Reporting Person: Wei Eric (Director, 10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2012-07-20	Common Stock, par value $0.001 per share	G	15306	—	Acquired	22545180	Direct

Footnotes

F1: On July 20, 2012, Eric H.C. Wei transferred 15,306 shares of common stock, par value $0.001 per share ("Common Stock"), of NeoStem, Inc. (the "Company"), owned directly by Mr. Wei to RimAsia Capital Partners Manager, Ltd., a Cayman Islands exempted limited company ("RimAsia Manager") for no consideration.

F2: These securities are held as to 22,409,874 shares of Common Stock by RimAsia Capital Partners, L.P. ("RimAsia LP"), and as to 135,306 shares of Common Stock by RimAsia Manager, respectively. The 135,306 shares of Common Stock held by RimAsia Manager consist of (i) the 15,306 shares of Common stock transferred by Mr. Wei to RimAsia Manager on July 20, 2012, as described in footnote 1, and (ii) 120,000 shares of Common Stock transferred by Mr. Wei to RimAsia Manager on January 12, 2012, which the reporting persons' Form 4 dated January 13, 2012 had erroneously reported as having been transferred to RimAsia LP.

F3: This Form 4 is filed jointly by (a) RimAsia LP, (b) RimAsia Capital Partners GP, L.P. ("RimAsia GP"), the general partner of RimAsia LP, (c) RimAsia Capital Partners GP, Ltd. ("RimAsia Ltd."), the general partner of RimAsia GP, (d) RimAsia Manager, the Fund Manager of RimAsia GP and the Manager of RimAsia LP, and (e) Eric H.C. Wei, the managing partner of RimAsia LP, an indirect partner of RimAsia GP, a director of RimAsia Ltd. and a director of RimAsia Manager. All such reporting persons have the address noted in Item 1.

F4: RimAsia GP, RimAsia Ltd., RimAsia Manager and Eric H.C. Wei disclaim beneficial ownership of the securities held by RimAsia LP, and RimAsia LP, RimAsia GP, RimAsia Ltd. and Eric H.C. Wei disclaim beneficial ownership of the securities held by RimAsia Manager, in each case except to the extent of any pecuniary interest therein, and the inclusion of these securities shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 of the Securities Exchange Act or for any other purpose.