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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Subscription Rights (Right to Buy) | $ 2.55 | 06/15/2016 | X | 1,900 | 05/26/2016 | 06/10/2016 | See Footnote (2) | 1,900 | $ 0 | 0 | I | By Trust | |||
Warrants (Right to Buy) | $ 3.06 (3) | 06/15/2016 | X | 950 | 06/15/2016 | 12/14/2018 | Common Stock | 950 | (2) | 950 | I | By Trust (1) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LYONS GARY A 3020 CALLAN ROAD SAN DIEGO, CA 92121 |
X |
Jeremy Hayden, by Power of Attorney for Gary A. Lyons | 06/16/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
(1) | The Reporting Person maintains indirect ownership of these securities in his capacity as sole trustee and beneficiary of The Gary A. Lyons Revocable Living Trust U/A, DTD 6/8/2102 (the "Trust"), including 2,458 shares previously reported as directly held that were transferred by the Reporting Person to the Trust. |
(2) | The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by Cytori Therapeutics, Inc. (the "Company) to all holders of the Company's common stock. The subscription rights entitled each recipient thereof to purchase units ("Units"). Each Unit consists of one share of the Company's common stock and 0.5 of a warrant, with each warrant representing the right to purchase one share of the Company's common stock. The purchase price for each Unit was $2.55. |
(3) | Each warrant entitles the holder to purchase one share of the Company's common stock at an exercise price of $3.06 from the date of issuance through December 14, 2018. |