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LISATA THERAPEUTICS, INC. — Director's Dealing 2012
Jan 6, 2012
34931_dirs_2012-01-06_d68a40d0-355b-4d3b-8512-23002d5cc206.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: 2012-01-04
Reporting Person: VACZY CATHERINE M (VP and General Counsel)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-01-06 | Common Stock, par value $0.001 per share | A | 10669 | $0.52 | Acquired | 345362 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-01-04 | Stock Options (Right to Buy) | $0.52 | A | 200000 | Acquired | 2022-01-03 | Common Stock, par value $0.001 per share (200000) | Direct |
| 2012-01-06 | Stock Options (Right to Buy) | $0.52 | A | 150000 | Acquired | 2022-01-05 | Common Stock, par value $0.001 per share (150000) | Direct |
Footnotes
F1: On January 6, 2011 (the "Effective Date"), pursuant to a letter agreement (the "Letter Agreement") entered into between NeoStem, Inc. (the "Company") and Catherine M. Vaczy (the Company's Vice President, Legal and General Counsel) extending Ms. Vaczy's employment agreement with the Company, Ms. Vaczy agreed to accept $10,000 of the amount of her 2011 bonus remaining payable in shares of the Company's common stock on a net basis, based on the closing price of the Company's common stock on the Effective Date, under and subject to the terms and conditions of the Company's 2009 Equity Compensation Plan (the "2009 Plan").
F2: On January 4, 2012 (the "Grant Date"), Ms. Vaczy was granted an option to purchase 200,000 shares of the Company's common stock, subject to all of the terms and conditions of the 2009 Plan. This option vested as to one-third of the shares on the Grant Date, and is scheduled to vest as to one-third of the shares on each of January 4, 2013 and January 4, 2014.
F3: Pursuant to the Letter Agreement, on the Effective Date Ms. Vaczy was granted an option to purchase 150,000 shares of the Company's common stock, subject to all of the terms and conditions of the 2009 Plan. This option is scheduled to vest as to all shares on December 31, 2012, the expiration of the term of the Letter Agreement.