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)
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2. Date of Event Requiring Statement
(Month/Day/Year) 03/30/2014 |
3. Issuer Name and Ticker or Trading Symbol
CYTOMEDIX INC [ CMXI ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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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 | ||||
WARRANTS TO PURCHASE SHARES OF COMMON STOCK(1) | 10/15/2013 | 10/15/2015 | COMMON STOCK | 100,000 | $0.37 | D | |
OPTIONS TO PURCHASE SHARES OF COMMON STOCK | (2) | 04/08/2024 | COMMON STOCK | 1,540,800 | $0.6 | D |
Explanation of Responses: |
1. Approved by the Board and Issued by the Company in connection with the Consulting Agreement dated October 15, 2013, as amended to date. |
2. Represents options to purchase shares of the Company's common stock granted pursuant to the 2013 Equity Incentive Plan, subject to the authorized share availability. The subject options vest over three year vesting period, with the vesting period commencing twelve months from the grant date when one quarter of such options will vest and the remainder of the subject options vesting in equal monthly increments over the period of twenty four months following such date. The foregoing option grant was approved by the Board of Directors. |
/s/ Dean Tozer | 04/10/2014 | |
** 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. |