|   |
|---|
|   |  |
| x | ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |

|   |
|---|
|   |  |
| o | TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |

|                                                |
|------------------------------------------------|
|                                                |  |
| DELAWARE                                       | 22-2343568 |
| (State or other jurisdiction of                | (I.R.S. Employer |
| incorporation or organization)                 | Identification No.) |
|                                           |   |
| 420 LEXINGTON AVE, SUITE 350NEW YORK, NEW YORK | 10170 |
| (Address of principal executive offices)       | (zip code) |

|                                          |
|------------------------------------------|
|                                          |  |  |
|                                     |   |   |
| Title of Each Class                      |   | Name of Each Exchange On Which Registered |
| Common Stock, par value $0.001 per share |   | NasdaqCM |

----

----

|                                                                                                                     |
|---------------------------------------------------------------------------------------------------------------------|
|                                                                                                                     |  |
| Large accelerated filer     o                                                              | Accelerated filer     o |
| Non-accelerated filer   o     (Do not check if a smaller reporting company) | Smaller reporting company     x |

----

----

|         |                                                                                                                                                                 |
|---------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------|
| • | Pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the Company; |

|         |                                                                                                                                                                                                                                                                                                                                                          |
|---------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| • | Provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the Company are being made only in accordance with authorizations of management and the board of directors of the Company; and |

|         |                                                                                                                                                                                                                    |
|---------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| • | Provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of the Company’s assets that could have a material effect on the financial statements. |

----

----

|             |
|-------------|
|             |  |
| 31.3† | Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 |
| 31.4† | Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 |

|         |
|---------|
|         |  |
| † | Filed herewith. |

----

|              |
|--------------|
|              |  |  |
|         |   |   |
|         |   | NEOSTEM, INC. |
|    |   | By:/s/ Robin L. Smith, M.D.Name: Robin L. Smith, M.D.       Title: Chief Executive Officer |