Filing Details
- Accession Number:
- 0001144204-14-072448
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-12-04 21:00:36
- Reporting Period:
- 2014-12-02
- Filing Date:
- 2014-12-04
- Accepted Time:
- 2014-12-04 21:00:36
- 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 | No | No | Yes | No | |
| 1554792 | Rimasia Capital Partners Manager, Ltd. | 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, Par Value $0.001 Per Share | Disposition | 2014-12-02 | 6,088 | $4.00 | 2,246,900 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.001 Per Share | Disposition | 2014-12-03 | 5,912 | $4.03 | 2,240,988 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Footnotes
- These securities are held as to 2,240,988 shares of Common Stock by RimAsia Capital Partners L.P., a Cayman Islands exempted limited partnership ("RimAsia LP").
- This Form 4 is filed jointly by (a) RimAsia LP, (b) RimAsia Capital Partners GP, L.P. ("RimAsia GP"), the general partner of RimAsia LP, (c) RimAsia Capital Partners GP, Ltd. ("RimAsia Ltd."), the general partner of RimAsia GP, (d) RimAsia Manager, the Fund Manager of RimAsia GP and the Manager of RimAsia LP, and (e) Eric H.C. Wei, the managing partner of RimAsia LP, an indirect partner of RimAsia GP, a director of RimAsia Ltd. and a director of RimAsia Manager. All such reporting persons have the address noted in Item 1.
- RimAsia GP, RimAsia Ltd., RimAsia Manager and Eric H.C. Wei disclaim beneficial ownership of the securities held by RimAsia LP, and RimAsia LP, RimAsia GP, RimAsia Ltd. and Eric H.C. Wei disclaim beneficial ownership of the securities held by RimAsia Manager, in each case 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.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.00 to $4.04, inclusive. The reporting person undertakes to provide to 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.
Billionaire Hedge Funds
