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LISATA THERAPEUTICS, INC. — Director's Dealing 2013
Jul 17, 2013
34931_dirs_2013-07-17_86fa33f3-7726-4429-80f9-9542116da54a.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: 2013-07-15
Reporting Person: Potter Stephen W (Executive Vice President)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-07-15 | Stock Option (right to purchase) | $5.80 | A | 30000 | Acquired | 2023-07-14 | Common Stock, par value $0.001 per share (30000) | Direct |
Footnotes
F1: On July 15, 2013, the commencement date (the "Commencement Date") of his employment with NeoStem, Inc. (the "Company"), the reporting person, Stephen Potter, a former director of the Company, was granted an option to purchase 30,000 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 Amended & Restated 2009 Equity Compensation Plan. This option is scheduled to vest as to 10,000 shares on each of July 15, 2014, July 15, 2015 and upon a specified business milestone, subject to the reporting person's continued employment.