SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 11/15/2019 | 3. Issuer Name and Ticker or Trading Symbol H-CYTE, INC. [ HCYT ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
SERIES D PREFERRED STOCK | 11/15/2019 | (1) | COMMON STOCK | 14,699,757 | 0.4082(2) | I | See Footnote(3) |
WARRANT | 11/15/2019 | 11/15/2029 | COMMON STOCK | 14,699,757 | 0.75(2) | I | See Footnote(3) |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. No Expiration Date |
2. Subject to adjustment as per the terms of the definitive agreements / instruments. |
3. The Series D Preferred Stock and Warrant reported herein are held directly by FWHC Holdings, LLC (FHWC), and indirectly by HOA Capital LLC (HOA), the sole manager of FHWC, and J. Rex Farrior, III, the sole manager of HOA. Each of the reporting persons disclaims beneficial ownership of the common stock underlying the Series D Preferred Stock and Warrant except to the extent of its or his pecuniary interest therein. |
/s/ J. Rex Farrior, III | 02/24/2020 | |
/s/ J. Rex Farrior, III, o/b/o FWHC Holdings, LLC | 02/24/2020 | |
/s/ J. Rex Farrior, III, o/b/o HOA Capital LLC | 02/24/2020 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |