LISATA THERAPEUTICS, INC. — Director's Dealing 2014

Aug 1, 2014

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: NeoStem, Inc. (NBS)
CIK: 0000320017
Period of Report: 2014-07-31

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2014-07-31	Common Stock, $0.001 par value	A	564	$6.22	Acquired	275395	Direct
2014-08-01	Common Stock, $0.001 par value	A	50000	—	Acquired	325395	Direct

Footnotes

F1: Effective August 15, 2013, the Issuer's Board of Directors approved an arrangement whereby the Reporting Person shall receive a portion of his net salary through the issuance to him by the Issuer of shares of the Issuer's common stock, $.001 par value (the "Common Stock") at the then-market price at the time of issuance, under and subject to the terms and conditions of the Issuers' Amended & Restated 2009 Equity Compensation Plan (the "Plan").

F2: On August 1, 2014, the Reporting Person was granted an award of 50,000 shares of Common Stock (the "Shares"), subject to all of the terms and conditions of the Plan. The Shares were fully vested upon grant and the withholding taxes associated with the Shares are being paid by the Company. The award was approved by the Compensation Committee as a bonus for the successful completion of the acquisition of California Stem Cell, Inc. ("CSC") by the Issuer.