LISATA THERAPEUTICS, INC. — Director's Dealing 2015

Jan 5, 2015

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: NeoStem, Inc. (NBS)
CIK: 0000320017
Period of Report: 2015-01-02

Reporting Person: Smith Robin L (Director, Exec. Chairman of the Board)

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2015-01-02	Stock Option (right to purchase)	$3.73	A	300000	Acquired	2025-01-01	Common Stock, par value $0.001 per share (300000)	Direct

Footnotes

F1: In connection with her entry into an amendment of her employment agreement, the reporting person, Robin L. Smith, M.D., was granted, on January 2, 2015, an option (the "Option") to purchase 300,000 shares of the common stock, par value $0.001 per share ("Common Stock"), of NeoStem, Inc. (the "Company"), pursuant and subject to the terms and conditions of the Company's Amended and Restated 2009 Equity Compensation Plan (the "2009 Plan"). The Option was vested as to 100,000 Option shares immediately upon grant, with the remainder of the Option scheduled to vest as to 100,000 Option shares on June 7, 2015 and as to the remaining 100,000 Option shares on December 7, 2015.