LISATA THERAPEUTICS, INC. — Director's Dealing 2013

Aug 20, 2013

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: NeoStem, Inc. (NBS)
CIK: 0000320017
Period of Report: 2013-08-19

Reporting Person: Dickey Robert IV (Chief Financial Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2013-08-19	Common stock, par value $0.001 per share	A	5000	—	Acquired	5000	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2013-08-19	Stock Option (right to purchase)	$7.46	A	46000	Acquired	2023-08-18	Common Stock, par value $0.001 per share (46000)	Direct

Footnotes

F1: On August 19, 2013, the commencement date (the "Commencement Date") of his employment with NeoStem, Inc. (the "Company"), the reporting person, Robert Dickey IV, received a signing bonus consisting of 5,000 shares of the Company's common stock, par value, $.001 (the "Common Stock"), and an option to purchase 10,000 shares of the Common Stock (the "Bonus Option") pursuant and subject to the terms and conditions of the Company's Amended & Restated 2009 Equity Compensation Plan. The Bonus option is scheduled to vest on August 19, 2014, subject to the reporting person's continued employment. (Continued in Footnote 2)

F2: (Continued from Footnote 1) Additionally, on the Commencement Date, Mr. Dickey was granted an option to purchase 36,000 shares of Common Stock, pursuant and subject to the terms and conditions of the Company's Amended & Restated 2009 Equity Compensation Plan. This option is scheduled to vest as to 12,000 shares on each of August 19, 2014 and August 19, 2015 and 12,000 shares on August 19, 2016, subject to the reporting person's continued employment.