AI assistant
LISATA THERAPEUTICS, INC. — Director's Dealing 2015
Jan 2, 2015
34931_dirs_2015-01-02_733711c7-f308-4dbf-90f6-593f0f13088d.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: NeoStem, Inc. (NBS)
CIK: 0000320017
Period of Report: 2014-12-31
Reporting Person: Talamo Joseph (Chief Accounting Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-12-31 | Common Stock, $0.001 par value | A | 710 | $3.2045 | Acquired | 8339 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-01-02 | Stock Option (right to purchase) | $3.73 | A | 30000 | Acquired | 2025-01-01 | Common Stock, par value $0.001 per share (30000) | Direct |
Footnotes
F1: Shares purchased pursuant to NeoStem, Inc.'s 2012 Employee Stock Purchase Plan for the period ended December 31, 2014.
F2: On January 2, 2015 (the "Grant Date"), the Reporting Person was granted an option under the Company's 2009 Equity Compensation Plan (the "Plan") to purchase shares of the Issuer's common stock, subject to all of the terms and conditions of the Plan. This option vests as follows: as to 25% of the shares on the Grant Date, and as to the remaining 75% of the shares in increments of 25% upon the achievement of certain specified business milestones.