LISATA THERAPEUTICS, INC. — Director's Dealing 2015

Jun 4, 2015

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: NeoStem, Inc. (NBS)
CIK: 0000320017
Period of Report: 2015-06-02

Reporting Person: Pecora Andrew L (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2015-06-02	Common Stock, $0.001 par value	A	10000	—	Acquired	355029	Direct
2015-06-04	Common Stock, $0.001 par value	A	1330	$2.34	Acquired	356359	Direct

Footnotes

F1: On June 2, 2015 (the "Grant Date"), the Reporting Person was granted an award of 10,000 shares of the Company's common stock (the "Shares"), subject to all of the terms and conditions of the Company's 2009 Equity Compensation Plan (the "Plan"). The Shares vest as follows: as to 25% of the shares on the Grant Date, and the remaining 75% shall vest quarterly over a period of thirty-six months from the Grant Date. With regard to the Shares, the Company agreed to pay total withholding taxes.

F2: 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").