DEL GUERCIO JOSEPH 4
4 · CYTOMEDIX INC · Filed Feb 21, 2013
Insider Transaction Report
Form 4
CYTOMEDIX INCCMXI
DEL GUERCIO JOSEPH
Director
Transactions
- Purchase
COMMON STOCK WARRANT
2013-02-19+356,364→ 520,362 total(indirect: SEE FOOTNOTE)Exercise: $0.75From: 2013-02-19Exp: 2018-02-19→ COMMON STOCK (356,364 underlying) - Purchase
COMMON STOCK
2013-02-19$0.55/sh+509,091$280,000→ 1,143,770 total(indirect: SEE FOOTNOTE)
Footnotes (2)
- [F1]The shares of common stock and common stock warrants were acquired and are owned directly by CNF Investments II, LLC. ("CNF") in the February 19, 2013 registered offering of the Company's securities pursuant to the effective registration statement on Form S-3 (the "Reportable Securities"). The individual managing members (collectively, the "CNF Member Managers") of CNF are Joseph Del Guercio and Robert J. Flanagan. CNF and CNF Member Managers may share voting and dispositive power over the shares directly held by CNF. Mr. Del Guercio is Managing Director of CNF. He disclaims beneficial ownership of such securities and this report is not an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein.
- [F2]The Reportable Securities in the above-referenced offering were sold in units, at the price per unit of $.55, with each unit consisting of one share of common stock together with a warrant to purchase 0.7 of a share of common stock. The warrants are immediately exercisable at an exercise price of $0.75 per share and expire on February 21, 2018 and are subject to transfer restrictions.