<SEC-DOCUMENT>0001144204-14-072448.txt : 20141204
<SEC-HEADER>0001144204-14-072448.hdr.sgml : 20141204
<ACCEPTANCE-DATETIME>20141204210036
ACCESSION NUMBER:		0001144204-14-072448
CONFORMED SUBMISSION TYPE:	4
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20141202
FILED AS OF DATE:		20141204
DATE AS OF CHANGE:		20141204

ISSUER:		

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			NeoStem, Inc.
		CENTRAL INDEX KEY:			0000320017
		STANDARD INDUSTRIAL CLASSIFICATION:	SERVICES-MISC HEALTH & ALLIED SERVICES, NEC [8090]
		IRS NUMBER:				222343568
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	BUSINESS ADDRESS:	
		STREET 1:		420 LEXINGTON AVENUE
		STREET 2:		SUITE 350
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10170
		BUSINESS PHONE:		212-584-4171

	MAIL ADDRESS:	
		STREET 1:		420 LEXINGTON AVENUE
		STREET 2:		SUITE 350
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10170

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	PHASE III MEDICAL INC/DE
		DATE OF NAME CHANGE:	20030819

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	CORNICHE GROUP INC /DE
		DATE OF NAME CHANGE:	19951117

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	FIDELITY MEDICAL INC
		DATE OF NAME CHANGE:	19951025

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			Wei Eric
		CENTRAL INDEX KEY:			0001368570

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-33650
		FILM NUMBER:		141267678

	MAIL ADDRESS:	
		STREET 1:		SUITE 602, CHINA LIFE TOWER
		STREET 2:		16 CHAOWAI DISTRICT
		CITY:			BEIJING
		STATE:			F4
		ZIP:			100020

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			RimAsia Capital Partners GP, L.P.
		CENTRAL INDEX KEY:			0001369125
		STATE OF INCORPORATION:			E9
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-33650
		FILM NUMBER:		141267680

	BUSINESS ADDRESS:	
		STREET 1:		1302 BANK OF AMERICA TOWER
		STREET 2:		12 HARCOURT ROAD
		CITY:			ADMIRALTY
		STATE:			K3
		ZIP:			000000
		BUSINESS PHONE:		852 2524 6100

	MAIL ADDRESS:	
		STREET 1:		1302 BANK OF AMERICA TOWER
		STREET 2:		12 HARCOURT ROAD
		CITY:			ADMIRALTY
		STATE:			K3
		ZIP:			000000

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			RimAsia Capital Partners GP, Ltd.
		CENTRAL INDEX KEY:			0001369126
		STATE OF INCORPORATION:			E9
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-33650
		FILM NUMBER:		141267679

	BUSINESS ADDRESS:	
		STREET 1:		1302 BANK OF AMERICA TOWER
		STREET 2:		12 HARCOURT ROAD
		CITY:			ADMIRALTY
		STATE:			K3
		ZIP:			000000
		BUSINESS PHONE:		852 2524 6100

	MAIL ADDRESS:	
		STREET 1:		1302 BANK OF AMERICA TOWER
		STREET 2:		12 HARCOURT ROAD
		CITY:			ADMIRALTY
		STATE:			K3
		ZIP:			000000

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			RimAsia Capital Partners, L.P.
		CENTRAL INDEX KEY:			0001369127
		STATE OF INCORPORATION:			E9
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-33650
		FILM NUMBER:		141267681

	BUSINESS ADDRESS:	
		STREET 1:		1302 BANK OF AMERICA TOWER
		STREET 2:		12 HARCOURT ROAD
		CITY:			ADMIRALTY
		STATE:			K3
		ZIP:			000000
		BUSINESS PHONE:		852 2524 6100

	MAIL ADDRESS:	
		STREET 1:		1302 BANK OF AMERICA TOWER
		STREET 2:		12 HARCOURT ROAD
		CITY:			ADMIRALTY
		STATE:			K3
		ZIP:			000000

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			RimAsia Capital Partners Manager, Ltd.
		CENTRAL INDEX KEY:			0001554792

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-33650
		FILM NUMBER:		141267682

	BUSINESS ADDRESS:	
		STREET 1:		1807 HARBOUR CENTRE
		STREET 2:		25 HARBOUR ROAD
		CITY:			WANCHAI
		STATE:			K3
		ZIP:			F4
		BUSINESS PHONE:		646-430-9066

	MAIL ADDRESS:	
		STREET 1:		1807 HARBOUR CENTRE
		STREET 2:		25 HARBOUR ROAD
		CITY:			WANCHAI
		STATE:			K3
		ZIP:			F4

	FORMER NAME:	
		FORMER CONFORMED NAME:	RimAsia Capital Partners Manger, Ltd.
		DATE OF NAME CHANGE:	20120723
</SEC-HEADER>
<DOCUMENT>
<TYPE>4
<SEQUENCE>1
<FILENAME>v395913_4.xml
<DESCRIPTION>OWNERSHIP DOCUMENT
<TEXT>
<XML>
<?xml version="1.0"?>
<ownershipDocument>

    <schemaVersion>X0306</schemaVersion>

    <documentType>4</documentType>

    <periodOfReport>2014-12-02</periodOfReport>

    <notSubjectToSection16>0</notSubjectToSection16>

    <issuer>
        <issuerCik>0000320017</issuerCik>
        <issuerName>NeoStem, Inc.</issuerName>
        <issuerTradingSymbol>NBS</issuerTradingSymbol>
    </issuer>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001554792</rptOwnerCik>
            <rptOwnerName>RimAsia Capital Partners Manager, Ltd.</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>1807 HARBOUR CENTRE</rptOwnerStreet1>
            <rptOwnerStreet2>25 HARBOUR ROAD WANCHAI</rptOwnerStreet2>
            <rptOwnerCity>HONG KONG</rptOwnerCity>
            <rptOwnerState>F4</rptOwnerState>
            <rptOwnerZipCode></rptOwnerZipCode>
            <rptOwnerStateDescription>CHINA</rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>1</isDirector>
            <isOfficer>0</isOfficer>
            <isTenPercentOwner>1</isTenPercentOwner>
            <isOther>0</isOther>
            <officerTitle></officerTitle>
            <otherText></otherText>
        </reportingOwnerRelationship>
    </reportingOwner>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001369127</rptOwnerCik>
            <rptOwnerName>RimAsia Capital Partners, L.P.</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>1807 HARBOUR CENTRE</rptOwnerStreet1>
            <rptOwnerStreet2>25 HARBOUR ROAD, WANCHAI</rptOwnerStreet2>
            <rptOwnerCity>HONG KONG</rptOwnerCity>
            <rptOwnerState>F4</rptOwnerState>
            <rptOwnerZipCode></rptOwnerZipCode>
            <rptOwnerStateDescription>CHINA</rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>0</isDirector>
            <isOfficer>0</isOfficer>
            <isTenPercentOwner>1</isTenPercentOwner>
            <isOther>0</isOther>
            <officerTitle></officerTitle>
            <otherText></otherText>
        </reportingOwnerRelationship>
    </reportingOwner>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001369125</rptOwnerCik>
            <rptOwnerName>RimAsia Capital Partners GP, L.P.</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>1807 HARBOUR CENTRE</rptOwnerStreet1>
            <rptOwnerStreet2>25 HARBOUR ROAD, WANCHAI</rptOwnerStreet2>
            <rptOwnerCity>HONG KONG</rptOwnerCity>
            <rptOwnerState>F4</rptOwnerState>
            <rptOwnerZipCode></rptOwnerZipCode>
            <rptOwnerStateDescription>CHINA</rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>0</isDirector>
            <isOfficer>0</isOfficer>
            <isTenPercentOwner>1</isTenPercentOwner>
            <isOther>0</isOther>
            <officerTitle></officerTitle>
            <otherText></otherText>
        </reportingOwnerRelationship>
    </reportingOwner>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001369126</rptOwnerCik>
            <rptOwnerName>RimAsia Capital Partners GP, Ltd.</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>1807 HARBOUR CENTRE</rptOwnerStreet1>
            <rptOwnerStreet2>25 HARBOUR ROAD, WANCHAI</rptOwnerStreet2>
            <rptOwnerCity>HONG KONG</rptOwnerCity>
            <rptOwnerState>F4</rptOwnerState>
            <rptOwnerZipCode></rptOwnerZipCode>
            <rptOwnerStateDescription>CHINA</rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>0</isDirector>
            <isOfficer>0</isOfficer>
            <isTenPercentOwner>1</isTenPercentOwner>
            <isOther>0</isOther>
            <officerTitle></officerTitle>
            <otherText></otherText>
        </reportingOwnerRelationship>
    </reportingOwner>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001368570</rptOwnerCik>
            <rptOwnerName>Wei Eric</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>1807 HARBOUR CENTRE</rptOwnerStreet1>
            <rptOwnerStreet2>25 HARBOUR ROAD, WANCHAI</rptOwnerStreet2>
            <rptOwnerCity>HONG KONG</rptOwnerCity>
            <rptOwnerState>F4</rptOwnerState>
            <rptOwnerZipCode></rptOwnerZipCode>
            <rptOwnerStateDescription>CHINA</rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>1</isDirector>
            <isOfficer>0</isOfficer>
            <isTenPercentOwner>1</isTenPercentOwner>
            <isOther>0</isOther>
            <officerTitle></officerTitle>
            <otherText></otherText>
        </reportingOwnerRelationship>
    </reportingOwner>

    <nonDerivativeTable>
        <nonDerivativeTransaction>
            <securityTitle>
                <value>Common Stock, par value $0.001 per share</value>
            </securityTitle>
            <transactionDate>
                <value>2014-12-02</value>
            </transactionDate>
            <deemedExecutionDate></deemedExecutionDate>
            <transactionCoding>
                <transactionFormType>4</transactionFormType>
                <transactionCode>S</transactionCode>
                <equitySwapInvolved>0</equitySwapInvolved>
            </transactionCoding>
            <transactionTimeliness></transactionTimeliness>
            <transactionAmounts>
                <transactionShares>
                    <value>6088</value>
                </transactionShares>
                <transactionPricePerShare>
                    <value>4.00</value>
                </transactionPricePerShare>
                <transactionAcquiredDisposedCode>
                    <value>D</value>
                </transactionAcquiredDisposedCode>
            </transactionAmounts>
            <postTransactionAmounts>
                <sharesOwnedFollowingTransaction>
                    <value>2246900</value>
                    <footnoteId id="F1"/>
                    <footnoteId id="F2"/>
                    <footnoteId id="F3"/>
                </sharesOwnedFollowingTransaction>
            </postTransactionAmounts>
            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>D</value>
                    <footnoteId id="F1"/>
                    <footnoteId id="F2"/>
                    <footnoteId id="F3"/>
                </directOrIndirectOwnership>
            </ownershipNature>
        </nonDerivativeTransaction>
        <nonDerivativeTransaction>
            <securityTitle>
                <value>Common Stock, par value $0.001 per share</value>
            </securityTitle>
            <transactionDate>
                <value>2014-12-03</value>
            </transactionDate>
            <deemedExecutionDate></deemedExecutionDate>
            <transactionCoding>
                <transactionFormType>4</transactionFormType>
                <transactionCode>S</transactionCode>
                <equitySwapInvolved>0</equitySwapInvolved>
            </transactionCoding>
            <transactionTimeliness></transactionTimeliness>
            <transactionAmounts>
                <transactionShares>
                    <value>5912</value>
                </transactionShares>
                <transactionPricePerShare>
                    <value>4.0288</value>
                    <footnoteId id="F4"/>
                </transactionPricePerShare>
                <transactionAcquiredDisposedCode>
                    <value>D</value>
                </transactionAcquiredDisposedCode>
            </transactionAmounts>
            <postTransactionAmounts>
                <sharesOwnedFollowingTransaction>
                    <value>2240988</value>
                    <footnoteId id="F1"/>
                    <footnoteId id="F2"/>
                    <footnoteId id="F3"/>
                </sharesOwnedFollowingTransaction>
            </postTransactionAmounts>
            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>D</value>
                    <footnoteId id="F1"/>
                    <footnoteId id="F2"/>
                    <footnoteId id="F3"/>
                </directOrIndirectOwnership>
            </ownershipNature>
        </nonDerivativeTransaction>
    </nonDerivativeTable>

    <footnotes>
        <footnote id="F1">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 (&quot;RimAsia LP&quot;).</footnote>
        <footnote id="F2">This Form 4 is filed jointly by (a) RimAsia LP, (b) RimAsia Capital Partners GP, L.P. (&quot;RimAsia GP&quot;), the general partner of RimAsia LP, (c) RimAsia Capital Partners GP, Ltd. (&quot;RimAsia Ltd.&quot;), 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.</footnote>
        <footnote id="F3">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.</footnote>
        <footnote id="F4">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.</footnote>
    </footnotes>

    <ownerSignature>
        <signatureName>RIMASIA CAPITAL PARTNERS MANAGER, LTD., By: Eric H.C. Wei, Director, By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact</signatureName>
        <signatureDate>2014-12-03</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>RIMASIA CAPITAL PARTNERS, L.P., By: Eric H.C. Wei, Managing Partner, By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact</signatureName>
        <signatureDate>2014-12-03</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>RIMASIA CAPITAL PARTNERS GP, L.P., By: Eric H.C. Wei, Partner, By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact</signatureName>
        <signatureDate>2014-12-03</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>RIMASIA CAPITAL PARTNERS GP, LTD., By: Eric H.C. Wei, Director, By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact</signatureName>
        <signatureDate>2014-12-03</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>ERIC H.C. WEI, By: /s/ Catherine M. Vaczy, Esq., Attorney-in-Fact</signatureName>
        <signatureDate>2014-12-03</signatureDate>
    </ownerSignature>
</ownershipDocument>
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</DOCUMENT>
</SEC-DOCUMENT>
