Statement of Changes in Beneficial Ownership (4)
23 3월 2022 - 9:01PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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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
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Lynch Frederick J |
2. Issuer Name and Ticker or Trading Symbol
H-CYTE, INC.
[
HCYT
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
2903 W. VILLA ROSA PARK |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/21/2022 |
(Street)
TAMPA, FL 33611
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
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X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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COMMON STOCK | 3/21/2022 | | X | | 8321785 | A | $0.014 | 8321785 | I | (SEE FOOTNOTE) (1) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
STOCK PURCHASE WARRANTS | $0.014 | 3/21/2022 | | X | | | 8321785 | 9/24/2020 | 9/24/2030 | COMMON STOCK | 8321785 | (2) | 17886434 | I | (SEE FOOTNOTE) (1) |
STOCK PURCHASE WARRANTS | $0.014 | 3/21/2022 | | J (3) | | 8321785 | | 3/21/2022 | 3/21/2027 | COMMON STOCK | 8321785 | $0.014 | 8321785 | I | (SEE FOOTNOTE) (1) |
Explanation of Responses: |
(1) | Securities held of record by CFRS Investments, LLC, of which Frederick J. Lynch is the sole manager. Each reporting person disclaims beneficial ownership of the securities except to the extent of its or his pecuniary interest therein. |
(2) | Received in connection with variable conversion price notes. No additional consideration was paid for warrants. Exercise price became fixed at closing of Qualified Financing. |
(3) | Represents five-year inducement warrants received from the issuer in connection with the exercise of the ten-year warrants. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Lynch Frederick J 2903 W. VILLA ROSA PARK TAMPA, FL 33611 |
| X |
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CFRS INVESTMENTS, LLC 2903 W. VILLA ROSA PARK TAMPA, FL 33611 |
| X |
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Signatures
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/s/ Frederick J. Lynch | | 3/23/2022 |
**Signature of Reporting Person | Date |
/s/ Frederick J. Lynch o/b/o FWHC Holdings, LLC | | 3/23/2022 |
**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 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). |
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 control number. |
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