LISATA THERAPEUTICS, INC. — Director's Dealing 2012

Jul 23, 2012

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: NeoStem, Inc. (NBS)
CIK: 0000320017
Period of Report: 2012-01-12

Reporting Person: RimAsia Capital Partners Manager, Ltd. (Member of 10% owner group.)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock, par value $0.001 per share	120000	Direct
Common Stock, par value $0.001 per share	22409874	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Warrant to Purchase Common Stock	$2.50	2014-04-13	Common Stock, par value $0.001 per share (4000000)		Indirect

Footnotes

F1: Consists of 120,000 shares of common stock, par value $0.001 per share ("Common Stock"), of NeoStem, Inc. (the "Company") and formerly owned directly by Eric H. C. Wei, that were transferred by Mr. Wei to RimAsia Capital Partners Manager, Ltd., a Cayman Islands exempted limited company ("RimAsia Manager") on January 12, 2012 for no consideration, which shares had been erroneously reported in the Form 4 of RimAsia Capital Partners, L.P. ("RimAsia LP") dated January 13, 2012 as having been transferred to RimAsia LP.

F2: Reflects 22,409,874 shares of Common Stock owned by RimAsia LP as of January 12, 2012.

F3: RimAsia Manager is the Fund Manager of RimAsia Capital Partners GP, L.P., a Cayman Islands exempted limited partnership ("RimAsia GP") and the Manager of RimAsia LP. RimAsia GP is the general partner of RimAsia LP. RimAsia Capital Partners GP, Ltd. ("RimAsia Ltd.") is the general partner of RimAsia GP. Mr. Wei, a member of the Company's board of directors, is the managing partner of RimAsia LP, an indirect partner of RimAsia GP, a director of RimAsia Capital Partners GP, Ltd. and a director of RimAsia Manager. As a result, RimAsia Manager may be deemed to have sole power to vote certain of the securities held by RimAsia LP. RimAsia Manager disclaims beneficial ownership of such securities, except to the extent of its pecuniary interest therein.

F4: Reflect warrants to purchase 4,000,000 shares of Common Stock owned by RimAsia LP as of January 12, 2012.