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LISATA THERAPEUTICS, INC. — Director's Dealing 2012
Apr 4, 2012
34931_dirs_2012-04-04_442a4c99-e1ab-40c3-a735-3a8dfb1fbd06.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: 2012-04-02
Reporting Person: Sackner-Bernstein Jonathan (VP Clinical Dev & Reg Affairs)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-04-02 | Stock Option (right to purchase) | $0.38 | A | 400000 | Acquired | 2022-04-01 | Common Stock (400000) | Direct |
Footnotes
F1: On April 2, 2012, the commencement date (the "Commencement Date") of his employment with NeoStem, Inc. (the "Company"), the Reporting Person was granted an option to purchase 400,000 shares of the Company's common stock, par value $0.001 per share (the "Common Stock"), pursuant and subject to the terms and conditions of the Company's 2009 Equity Compensation Plan. This option shall vest as to 100,000 shares on each of December 31, 2012, April 2, 2013, April 2, 2014, and April 2, 2015, provided that the Reporting Person remains employed by the Company on each of such dates.