Filing Details
- Accession Number:
- 0001144204-10-009243
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-02-22 12:00:00
- Reporting Period:
- 2010-02-18
- Filing Date:
- 2010-02-22
- Accepted Time:
- 2010-02-22 15:38:45
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 320017 | Neostem Inc. | NBS | Services-Misc Health & Allied Services, Nec (8090) | 222343568 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1368570 | Eric Wei | 1807 Harbour Centre 25 Harbour Road, Wanchai Hong Kong F4 | Yes | No | Yes | No | |
| 1369125 | Rimasia Capital Partners Gp, L.p. | 1807 Harbour Centre 25 Harbour Road, Wanchai Hong Kong F4 | No | No | Yes | No | |
| 1369126 | Rimasia Capital Partners Gp, Ltd. | 1807 Harbour Centre 25 Harbour Road, Wanchai Hong Kong F4 | No | No | Yes | No | |
| 1369127 | Rimasia Capital Partners, L.p. | 1807 Harbour Centre 25 Harbour Road, Wanchai Hong Kong F4 | Yes | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2010-02-18 | 125,000 | $0.00 | 11,583,009 | No | 4 | G | Direct | |
| Common Stock | Acquisiton | 2010-02-18 | 740,741 | $1.35 | 12,323,750 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | G | Direct | |
| No | 4 | P | Direct |
Footnotes
- On February 18, 2010, Eric H.C. Wei transferred 125,000 shares of common stock, par value $0.001 per share ("Common Stock"), of NeoStem, Inc. (the "Company"), owned directly by him to RimAsia Capital Partners, L.P. for no consideration. Additionally, the pledge of 1,040,000 shares of Common Stock from Fullbright Finance Limited to RimAsia Capital Partners, L.P. has been released.
- This Form 4 is filed jointly with (a) RimAsia Capital Partners GP, L.P., as the general partner of RimAsia Capital Partners, L.P., (b) RimAsia Capital Partners GP, Ltd., the general partner of RimAsia Capital Partners GP, L.P. and (c) Eric H.C. Wei, the sole director of RimAsia Capital Partners GP, Ltd. All such reporting persons have the address noted in Item 1.
- RimAsia Capital Partners GP, L.P., RimAsia Capital Partners GP, Ltd. and Eric H.C. Wei disclaim beneficial ownership of the securities held by RimAsia Capital Partners, L.P. except to the extent of any 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.
- Purchased by RimAsia Capital Partners, L.P. in connection with a public offering of the Common Stock.
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