LISATA THERAPEUTICS, INC. — Director's Dealing 2015

Mar 20, 2015

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: NeoStem, Inc. (NBS)
CIK: 0000320017
Period of Report: 2015-03-18

Reporting Person: Wei Eric (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2015-03-18	Common Stock, par value $0.001 per share	S	100000	$3.20	Disposed	2122988	Indirect

Footnotes

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.13 to $3.33, inclusive. The reporting person undertakes to provide to NeoStem, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F2: These shares of the common stock of the Company, par value $0.001 per share ("Common Stock"), are held (i) as to 2,110,988 shares of Common Stock by RimAsia Capital Partners L.P., a Cayman Islands exempted limited partnership ("RimAsia LP"), and (ii) as to 12,000 shares of Common Stock by RimAsia Capital Partners Manager, Ltd., a Cayman Islands exempted company ("RimAsia Manager").

F3: RimAsia Capital Partners GP, L.P., a Cayman Islands exempted limited partnership ("RimAsia GP"), is the general partner of RimAsia LP. RimAsia Manager is the Fund Manager of RimAsia GP and the Manager of RimAsia LP. Mr. Wei is the managing partner of RimAsia LP, an indirect partner of RimAsia GP, a director of RimAsia Capital Partners GP, Ltd. and a director of RimAsia Manager. As a result, Mr. Wei may be deemed to have sole power to vote certain of the securities held by RimAsia LP and RimAsia Manager. Mr. Wei disclaims beneficial ownership of such securities, except to the extent of his 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.

F4: RimAsia LP and the related entities described in footnote 3 above (collectively, "RimAsia") was previously a 10% owner of the Company's Common Stock, but is no longer a 10% owner. The reporting person Mr. Wei, a member of the Company's board of directors, previously had submitted joint filings with RimAsia, but, as RimAsia is no longer a 10% owner, this filing is being made solely by Mr. Wei as a director of the Company.