LISATA THERAPEUTICS, INC. — Director's Dealing 2012

Jul 3, 2012

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: NeoStem, Inc. (NBS)
CIK: 0000320017
Period of Report: 2012-06-29

Reporting Person: Wei Eric (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2012-06-29	Common stock, par value $0.001 per share	A	15306	—	Acquired	15306	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common stock, par value $0.001 per share	22529874	Indirect

Footnotes

F1: On May 7, 2012, at a meeting of a committee of the Issuer's Board of Directors, the directors approved an arrangement whereby each of the Issuer's independent directors would receive, at such director's election, either (i) that number of shares of the Issuer's common stock, par value $0.001 per share (the "Common Stock") equal to the full amount of such director's cash fee for the quarterly period ended June 30, 2012, divided by $0.49, the closing price of the Common Stock on the date of issuance (the "Stock Award"); or (ii) an option to purchase that number of shares of Common Stock equal to the full amount of such independent director's cash fee for the quarterly period ended June 30, 2012, divided by $0.40, the Black-Scholes value of such option on the date of grant, vesting fully on the date of grant (the "Option Grant") in lieu of the quarterly cash fee. The quarterly cash fee for each of the Issuer's independent directors is $7,500.

F2: The Stock Award and the Option Grant were each issued under and subject to the terms and conditions of the Issuer's 2009 Equity Compensation Plan.

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