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EX-99.2 - EXHIBIT 99.2 - CALADRIUS BIOSCIENCES, INC.v306639_ex99-2.htm
EX-99.1 - EXHIBIT 99.1 - CALADRIUS BIOSCIENCES, INC.v306639_ex99-1.htm

  

SECURITIES AND EXCHANGE COMMISSION

 

WASHINGTON, D.C. 20549

 

FORM 8-K

 

CURRENT REPORT

PURSUANT TO SECTION 13 OR 15(D) OF THE

SECURITIES EXCHANGE ACT OF 1934

 

Date of Report (Date of earliest event reported):  March 20, 2012

 

NEOSTEM, INC.

(Exact Name of Registrant as Specified in Charter)

 

Delaware 001-33650 22-2343568
(State or Other Jurisdiction of Incorporation)

(Commission

File Number)

(IRS Employer Identification No.)

 

420 Lexington Avenue, Suite 450, New York, New York 10170

(Address of Principal Executive Offices)(Zip Code)

 

(212) 584-4180

Registrant's Telephone Number

 

Check the  appropriate  box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 

o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

  

 

 
 

 

Item 2.02.  Results of Operations and Financial Condition.

 

On March 20, 2012, NeoStem, Inc., a Delaware corporation (the “Company” or “NeoStem”), issued a press release containing certain financial information and other updates for the year ended December 31, 2011.  A copy of this press release is being furnished as Exhibit 99.1 to this Current Report on Form 8-K. Certain additional financial information for the year ended December 31, 2011 can be found on Slide 20 and 25 of Exhibit 99.2.

 

In accordance with General Instruction B.2 of Form 8-K, the information in this Item 2.02 of this Current Report on Form 8-K, including Exhibit 99.1, shall not be deemed “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liability of that section, nor shall it be deemed incorporated by reference in any filing under the Exchange Act or the Securities Act of 1933, as amended, except as shall be expressly set forth by specific reference in such a filing.

 

Item 7.01.  Regulation FD Disclosure.

 

NeoStem, Inc. intends, from time to time, to present and/or distribute to the investment community and utilize at various industry and other conferences a slide presentation.  The slide presentation is accessible on NeoStem’s website at www.neostem.com and is attached hereto as Exhibit 99.2.  NeoStem undertakes no obligation to update, supplement or amend the materials attached hereto as Exhibit 99.2.

 

In accordance with General Instruction B.2 of Form 8-K, the information in this Item 7.01 of this Current Report on Form 8-K, including Exhibit 99.2, shall not be deemed “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or  otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the Exchange Act or the Securities Act of 1933, as amended, except as shall be expressly set forth by reference in such a filing.

 

Forward Looking Statements

 

This Current Report on Form 8-K, including Exhibits 99.1 and 99.2 hereto, contains “forward-looking” statements within the meaning of the Private Securities Litigation Reform Act of 1995.  Forward-looking statements are typically preceded by words such as “believes,” “expects,” “anticipates,” “intends,” “will,” “may,” “should,” or similar expressions, although some forward-looking statements are expressed differently.  Forward-looking statements represent the Company's management's judgment regarding future events.  Although the Company believes that the expectations reflected in such forward-looking statements are reasonable, the Company can give no assurance that such expectations will prove to be correct.  All statement other than statements of historical fact included in the Current Report on Form 8-K are forward-looking statements.  The Company cannot guarantee  the accuracy of the forward-looking statements, and you should be aware that the Company's actual results could differ materially from those contained in the forward-looking statements due to a number of factors, including the statements under "Risk Factors" contained in the Company's reports filed with the Securities and Exchange Commission.  

 

Item 9.01.  Financial Statements and Exhibits.

  

(d)  Exhibits

 

Exhibit Number   Description
99.1   Press Release March 20, 2012*
99.2   Slide Presentation of NeoStem, Inc. dated March 2012*

 

          *Exhibits 99.1 and 99.2 are furnished as part of this Current Report on Form 8-K. 

 

 
 

 

SIGNATURE

 

Pursuant to the requirements of the Securities Exchange Act of 1934, NeoStem, Inc. has duly caused this Report to be signed on its behalf by the undersigned hereunto duly authorized.

 

  NEOSTEM, INC.  
       
  By: /s/ Catherine M. Vaczy  
    Name:  Catherine M. Vaczy  
    Title:  Vice President and General  Counsel  

 

Date:  March 20, 2012