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LISATA THERAPEUTICS, INC. — Director's Dealing 2014
Jan 3, 2014
34931_dirs_2014-01-03_09e19871-dac4-4cc8-ab57-0e6e23c02cc8.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: 2014-01-02
Reporting Person: RimAsia Capital Partners Manager, Ltd. (Director, 10% Owner)
Reporting Person: RimAsia Capital Partners, L.P. (10% Owner)
Reporting Person: RimAsia Capital Partners GP, L.P. (10% Owner)
Reporting Person: RimAsia Capital Partners GP, Ltd. (10% Owner)
Reporting Person: Wei Eric (Director, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-01-02 | Common Stock, par value $0.001 per share | G | 12000 | — | Acquired | 2252988 | Direct |
Footnotes
F1: On January 2, 2014, Eric H.C. Wei transferred 12,000 shares of common stock, par value $0.001 per share ("Common Stock"), of NeoStem, Inc. (the "Company"), owned directly by Mr. Wei to RimAsia Capital Partners Manager, Ltd., a Cayman Islands exempted limited company ("RimAsia Manager") for no consideration.
F2: These securities are held as to 2,237,988 shares of Common Stock by RimAsia Capital Partners L.P., a Cayman Islands exempted limited partnership ("RimAsia LP"), and as to 15,000 shares of Common Stock by RimAsia Manager.
F3: This Form 4 is filed jointly by (a) RimAsia LP, (b) RimAsia Capital Partners GP, L.P. ("RimAsia GP"), the general partner of RimAsia LP, (c) RimAsia Capital Partners GP, Ltd. ("RimAsia Ltd."), the general partner of RimAsia GP, (d) RimAsia Manager, the Fund Manager of RimAsia GP and the Manager of RimAsia LP, and (e) Eric H.C. Wei, the managing partner of RimAsia LP, an indirect partner of RimAsia GP, a director of RimAsia Ltd. and a director of RimAsia Manager. All such reporting persons have the address noted in Item 1.
F4: RimAsia GP, RimAsia Ltd., RimAsia Manager and Eric H.C. Wei disclaim beneficial ownership of the securities held by RimAsia LP, and RimAsia LP, RimAsia GP, RimAsia Ltd. and Eric H.C. Wei disclaim beneficial ownership of the securities held by RimAsia Manager, in each case except to the extent of any pecuniary interest therein, and the inclusion of these securities shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 of the Securities Exchange Act or for any other purpose.