<SEC-DOCUMENT>0000905718-14-000195.txt : 20140508
<SEC-HEADER>0000905718-14-000195.hdr.sgml : 20140508
<ACCEPTANCE-DATETIME>20140508162806
ACCESSION NUMBER:		0000905718-14-000195
CONFORMED SUBMISSION TYPE:	D
PUBLIC DOCUMENT COUNT:		1
ITEM INFORMATION:		<ITEMS>06b
FILED AS OF DATE:		20140508
DATE AS OF CHANGE:		20140508
EFFECTIVENESS DATE:		20140508

FILER:

	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

	FILING VALUES:
		FORM TYPE:		D
		SEC ACT:		1933 Act
		SEC FILE NUMBER:	021-217054
		FILM NUMBER:		14825362

	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
</SEC-HEADER>
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            <street2>SUITE 350</street2>
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            <stateOrCountry>NY</stateOrCountry>
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                <firstName>Catherine</firstName>
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                <street1>c/o NeoStem, Inc.</street1>
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                <firstName>Martyn</firstName>
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                <lastName>Greenacre</lastName>
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                <firstName>Andrew</firstName>
                <middleName>L.</middleName>
                <lastName>Pecora</lastName>
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                <lastName>Dickey IV</lastName>
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                <street2>420 Lexington Avenue, Suite 350</street2>
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            <relatedPersonRelationshipList>
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    <offeringData>
        <industryGroup>
            <industryGroupType>Biotechnology</industryGroupType>
        </industryGroup>
        <issuerSize>
            <revenueRange>Decline to Disclose</revenueRange>
        </issuerSize>
        <federalExemptionsExclusions>
            <item>06b</item>
        </federalExemptionsExclusions>
        <typeOfFiling>
            <newOrAmendment>
                <isAmendment>false</isAmendment>
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            <dateOfFirstSale>
                <value>2014-05-08</value>
            </dateOfFirstSale>
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        <durationOfOffering>
            <moreThanOneYear>false</moreThanOneYear>
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        <typesOfSecuritiesOffered>
            <isEquityType>true</isEquityType>
        </typesOfSecuritiesOffered>
        <businessCombinationTransaction>
            <isBusinessCombinationTransaction>true</isBusinessCombinationTransaction>
            <clarificationOfResponse>The offering relates to the issuance of certain merger consideration in connection with our acquisition of California Stem Cell, Inc. (&quot;CSC&quot;).</clarificationOfResponse>
        </businessCombinationTransaction>
        <minimumInvestmentAccepted>0</minimumInvestmentAccepted>
        <salesCompensationList>
            <recipient>
                <recipientName>Piper Jaffray &amp; Co.</recipientName>
                <recipientCRDNumber>665</recipientCRDNumber>
                <associatedBDName>None</associatedBDName>
                <associatedBDCRDNumber>None</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>800 NICOLLET MALL</street1>
                    <street2>SUITE 1000</street2>
                    <city>MINNEAPOLIS</city>
                    <stateOrCountry>MN</stateOrCountry>
                    <stateOrCountryDescription>MINNESOTA</stateOrCountryDescription>
                    <zipCode>55402</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>NY</state>
                    <description>NEW YORK</description>
                </statesOfSolicitationList>
                <foreignSolicitation>false</foreignSolicitation>
            </recipient>
        </salesCompensationList>
        <offeringSalesAmounts>
            <totalOfferingAmount>38000000</totalOfferingAmount>
            <totalAmountSold>38000000</totalAmountSold>
            <totalRemaining>0</totalRemaining>
            <clarificationOfResponse>Estimated value of merger consideration paid at closing.  At closing, CSC stockholders received 5,329,593 shares of our common stock.  Does not include up to $90 million in cash and/or shares based on certain milestones as set forth in the merger agmt.</clarificationOfResponse>
        </offeringSalesAmounts>
        <investors>
            <hasNonAccreditedInvestors>true</hasNonAccreditedInvestors>
            <numberNonAccreditedInvestors>27</numberNonAccreditedInvestors>
            <totalNumberAlreadyInvested>142</totalNumberAlreadyInvested>
        </investors>
        <salesCommissionsFindersFees>
            <salesCommissions>
                <dollarAmount>0</dollarAmount>
            </salesCommissions>
            <findersFees>
                <dollarAmount>1500000</dollarAmount>
                <isEstimate>true</isEstimate>
            </findersFees>
            <clarificationOfResponse>At closing NeoStem on behalf of CSC paid Piper approximately $1,500,000 pursuant to an engagement letter between CSC and Piper. Excludes additional contingent fees payable solely out of any milestone consideration payable to CSC stockholders</clarificationOfResponse>
        </salesCommissionsFindersFees>
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                <issuerName>NeoStem, Inc.</issuerName>
                <signatureName>/s/ Robin L. Smith</signatureName>
                <nameOfSigner>Robin L. Smith</nameOfSigner>
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                <signatureDate>2014-05-08</signatureDate>
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