LISATA THERAPEUTICS, INC. — Director's Dealing 2014

Jan 3, 2014

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: NeoStem, Inc. (NBS)
CIK: 0000320017
Period of Report: 2013-12-31

Reporting Person: Preti Robert A (See Remarks)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2013-12-31	Common stock, $0.001 par value	A	361	$4.845	Acquired	183175	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2014-01-02	Stock Option (Right to Buy)	$7.77	A	75000	Acquired	2024-01-01	Common Stock, par value $0.001 per share (75000)	Direct

Footnotes

F1: Shares purchased pursuant to NeoStem, Inc.'s 2012 Employee Stock Purchase Plan for the period ended December 31, 2013.

F2: On January 2, 2014 (the "Grant Date"), the Reporting Person was granted an option (the "Option") to purchase shares (the "Option Shares") of the Issuer's common stock, $.001 par value, subject to all of the terms and conditions of the Issuer's 2009 Amended & Restated Equity Compensation Plan. The Option vests as follows: (i) as to one-sixth of the Option Shares on the date of grant, (ii) as to one-sixth of the Option Shares on each of the first year, second year and third year anniversaries of the date of grant, (iii) as to one-sixth of the Option Shares upon the achievement of a certain specified business milestone; and (iv) as to the remaining one-sixth of the Option Shares upon the achievement of an additional certain specified business milestone.