SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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1. Name and Address of Reporting Person*
Geehr Edward

(Last) (First) (Middle)
C/O NEOSTEM, INC.
420 LEXINGTON AVENUE, SUITE 450

(Street)
NEW YORK NY 10170

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
10/30/2009
3. Issuer Name and Ticker or Trading Symbol
NeoStem, Inc. [ NBS ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (right to buy) (1) 10/29/2019 Common Stock, par value $0.001 per share 150,000 1.9 D
Explanation of Responses:
1. Effective on October 30, 2009 (the "Grant Date"), the reporting person was granted an option to purchase 150,000 shares of common stock of NeoStem, Inc. (the "Company"), pursuant to and subject to the Company's 2009 Equity Compensation Plan. The option is scheduled to vest as to 50,000 shares on each of the first, second and third anniversaries of the Grant Date. The Grant Date coincides with the closing of the merger of China Biopharmaceuticals Holdings, Inc. ("CBH") with and into CBH Acquisition LLC, a wholly-owned subsidiary of the Company, at which time the reporting person became a director of the Company.
Remarks:
/s/ Edward C. Geehr 11/02/2009
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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