Home > Insider Trading > Filing (0001144204-15-017599)

Filing Details

Accession Number:: 0001144204-15-017599
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2015-03-20 21:00:19
Reporting Period:: 2015-03-18

Filing Date:: 2015-03-20
Accepted Time:: 2015-03-20 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	C/O Neostem, Inc. 420 Lexington Avenue, Suite 350 New York NY 10170		Yes	No	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

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	2015-03-18	100,000	$3.20	2,122,988	No	4	S	Indirect	See footnotes

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Indirect	See footnotes

Footnotes

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.13 to $3.33, inclusive. The reporting person undertakes to provide to NeoStem, Inc. (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.
These shares of the common stock of the Company, par value $0.001 per share ("Common Stock"), are held (i) as to 2,110,988 shares of Common Stock by RimAsia Capital Partners L.P., a Cayman Islands exempted limited partnership ("RimAsia LP"), and (ii) as to 12,000 shares of Common Stock by RimAsia Capital Partners Manager, Ltd., a Cayman Islands exempted company ("RimAsia Manager").
RimAsia Capital Partners GP, L.P., a Cayman Islands exempted limited partnership ("RimAsia GP"), is the general partner of RimAsia LP. RimAsia Manager is the Fund Manager of RimAsia GP and the Manager of RimAsia LP. Mr. Wei is the managing partner of RimAsia LP, an indirect partner of RimAsia GP, a director of RimAsia Capital Partners GP, Ltd. and a director of RimAsia Manager. As a result, Mr. Wei may be deemed to have sole power to vote certain of the securities held by RimAsia LP and RimAsia Manager. Mr. Wei disclaims beneficial ownership of such securities, except to the extent of his 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.
RimAsia LP and the related entities described in footnote 3 above (collectively, "RimAsia") was previously a 10% owner of the Company's Common Stock, but is no longer a 10% owner. The reporting person Mr. Wei, a member of the Company's board of directors, previously had submitted joint filings with RimAsia, but, as RimAsia is no longer a 10% owner, this filing is being made solely by Mr. Wei as a director of the Company.