LISATA THERAPEUTICS, INC. — Director's Dealing 2015

Jan 2, 2015

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: NeoStem, Inc. (NBS)
CIK: 0000320017
Period of Report: 2014-12-31

Reporting Person: Pecora Andrew L (Director, Chief Visionary Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2014-12-31	Common Stock, $0.001 par value	A	934	$3.75	Acquired	346078	Direct
2014-12-31	Common Stock, $0.001 par value	A	2018	$3.2045	Acquired	348096	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	75000	Acquired	2025-01-01	Common Stock, par value $0.001 per share (75000)	Direct

Footnotes

F1: 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").

F2: Shares purchased pursuant to NeoStem, Inc.'s 2012 Employee Stock Purchase Plan for the period ended December 31, 2014.

F3: 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.