Filing Details

Accession Number:
0001144204-14-073053
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-12-09 21:00:19
Reporting Period:
2014-12-09
Filing Date:
2014-12-09
Accepted Time:
2014-12-09 21:00:19
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 2014-12-08 16,060 $3.75 2,224,928 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
Footnotes
  1. These securities are held as to 2,224,928 shares of Common Stock by RimAsia Capital Partners L.P., a Cayman Islands exempted limited partnership ("RimAsia LP").
  2. 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.
  3. 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 LP 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.