NeoStem, Inc. 4
4 · NeoStem, Inc. · Filed Aug 20, 2013
Insider Transaction Report
Form 4
Dickey Robert IV
Chief Financial Officer
Transactions
- Award
Common stock, par value $0.001 per share
2013-08-19+5,000→ 5,000 total - Award
Stock Option (right to purchase)
2013-08-19+46,000→ 46,000 totalExercise: $7.46Exp: 2023-08-18→ Common Stock, par value $0.001 per share (46,000 underlying)
Footnotes (2)
- [F1]On August 19, 2013, the commencement date (the "Commencement Date") of his employment with NeoStem, Inc. (the "Company"), the reporting person, Robert Dickey IV, received a signing bonus consisting of 5,000 shares of the Company's common stock, par value, $.001 (the "Common Stock"), and an option to purchase 10,000 shares of the Common Stock (the "Bonus Option") pursuant and subject to the terms and conditions of the Company's Amended & Restated 2009 Equity Compensation Plan. The Bonus option is scheduled to vest on August 19, 2014, subject to the reporting person's continued employment. (Continued in Footnote 2)
- [F2](Continued from Footnote 1) Additionally, on the Commencement Date, Mr. Dickey was granted an option to purchase 36,000 shares of Common Stock, pursuant and subject to the terms and conditions of the Company's Amended & Restated 2009 Equity Compensation Plan. This option is scheduled to vest as to 12,000 shares on each of August 19, 2014 and August 19, 2015 and 12,000 shares on August 19, 2016, subject to the reporting person's continued employment.