LISATA THERAPEUTICS, INC. — Director's Dealing 2013

Aug 7, 2013

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: NeoStem, Inc. (NBS)
CIK: 0000320017
Period of Report: 2013-08-05

Reporting Person: Pecora Andrew L (Director, Chief Visionary Officer)

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2013-08-05	Stock Option (right to purchase)	$7.29	A	27500	Acquired	2023-08-05	Common Stock, par value $0.001 per share (27500)	Direct

Footnotes

F1: Pursuant to a letter agreement effective August 5, 2013 (the "Grant Date") between NeoStem, Inc. (the "Company") and Andrew L. Pecora, M.D., F.A.C.P. amending Dr. Pecora's employment agreement with the Company, whereby in lieu of serving as Chief Medical Officer of the Company, Dr. Pecora's position and title were changed to Chief Visionary Officer of the Company, on the Grant Date Dr. Pecora was granted an option to purchase 27,500 shares of the Company's common stock, subject to all of the terms and conditions of the Company's Amended and Restated 2009 Equity Compensation Plan. This option vested as to 5,000 shares on the Grant Date, and is scheduled to vest as to 5,000 shares on each of December 31, 2013, December 31, 2014 and 12,500 shares upon a specified business milestone, subject to the reporting person's continued employment.