4//SEC Filing
Kent Richard S 4
Accession 0001292660-13-000001
CIK 0001091596other
Filed
Feb 25, 7:00 PM ET
Accepted
Feb 26, 6:11 PM ET
Size
29.1 KB
Accession
0001292660-13-000001
Insider Transaction Report
Form 4
CYTOMEDIX INCCMXI
Kent Richard S
Director
Transactions
- Purchase
Common Stock
2013-02-22$0.55/sh+321,211$176,666→ 1,233,738 total(indirect: by Intersouth Partners VI, L.P.) - Purchase
Warrant (right to buy)
2013-02-22+215,020→ 215,020 total(indirect: by Intersouth Partners V, L.P.)Exercise: $0.75From: 2013-02-22Exp: 2018-02-21→ Common Stock (215,020 underlying) - Purchase
Warrant (right to buy)
2013-02-22+224,849→ 224,849 total(indirect: by Intersouth Partners VII, L.P.)Exercise: $0.75From: 2013-02-22Exp: 2018-02-21→ Common Stock (224,849 underlying) - Purchase
Common Stock
2013-02-22$0.55/sh+321,213$176,667→ 1,233,740 total(indirect: by Intersouth Partners VII, L.P.) - Purchase
Common Stock
2013-02-22$0.55/sh+14,042$7,723→ 53,934 total(indirect: by Intersouth Affiliates V, L.P.) - Purchase
Common Stock
2013-02-22$0.55/sh+307,171$168,944→ 1,179,805 total(indirect: by Intersouth Partners V, L.P.) - Purchase
Warrant (right to buy)
2013-02-22+9,829→ 9,829 total(indirect: by Intersouth Affiliates V, L.P.)Exercise: $0.75From: 2013-02-22Exp: 2018-02-21→ Common Stock (9,829 underlying) - Purchase
Warrant (right to buy)
2013-02-22+224,848→ 224,848 total(indirect: by Intersouth Partners VI, L.P.)Exercise: $0.75From: 2013-02-22Exp: 2018-02-21→ Common Stock (224,848 underlying)
Holdings
- 17,308(indirect: by Intersouth Affiliates V, L.P.)
Warrant
Exercise: $1.42Exp: 2014-12-31→ Common Stock (17,308 underlying) - 64,859(indirect: by Intersouth Partners VI, L.P.)
Warrant
Exercise: $1.42Exp: 2014-12-31→ Common Stock (64,859 underlying) - 495,538(indirect: by Intersouth Partners VII, L.P.)
Warrant
Exercise: $1.42Exp: 2014-12-31→ Common Stock (495,538 underlying) - 378,721(indirect: by Intersouth Partners V, L.P.)
Warrant
Exercise: $1.42Exp: 2014-12-31→ Common Stock (378,721 underlying)
Footnotes (6)
- [F1]The shares of common stock and common stock warrants were acquired on February 22, 2013, in a registered offering of the Issuer's securities pursuant to the effective registration statement on Form S-3 (File No. 333-183704). The Reportable Securities in the above-referenced offering were sold in units, at the price per unit of $0.55, with each unit consisting of one share of common stock together with a warrant to purchase 0.7 of a share of common stock.
- [F2]The reportable securities are owned directly by Intersouth Affiliates V, L.P. ("AFF V"). The shares directly held by AFF V are indirectly held by Intersouth Associates V, LLC ("ISA V"), as general partner of AFF V, and each of the individual managing members of ISA V. The individual managing members (collectively, the "ISA V Member Managers") of ISA V are Mitch Mumma and Dennis Dougherty. ISA V Member Managers may share voting and dispositive power over the shares directly held by AFF V. Dr. Kent is a member of ISA V, the general partner of AFF V. Dr. Kent disclaims beneficial ownership of these 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.
- [F3]The reportable securities are owned directly by Intersouth Partners V, L.P. ("ISP V"). The shares directly held by ISP V are indirectly held by Intersouth Associates V, LLC ("ISA V"), as general partner of ISP V, and each of the individual managing members of ISA V. The individual managing members (collectively, the "ISA V Member Managers") of ISA V are Mitch Mumma and Dennis Dougherty. ISA V Member Managers may share voting and dispositive power over the shares directly held by ISP V. Dr. Kent is a member of ISA V, the general partner of ISP V. Dr. Kent disclaims beneficial ownership of these 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.
- [F4]The reportable securities are owned directly by Intersouth Partners VI, L.P. ("ISP VI"). The shares directly held by ISP VI are indirectly held by Intersouth Associates VI, LLC ("ISA VI"), as general partner of ISP VI, and each of the individual managing members of ISA VI. The individual managing members (collectively, the "ISA VI Member Managers") of ISA VI are Mitch Mumma and Dennis Dougherty. ISA VI Member Managers may share voting and dispositive power over the shares directly held by ISP VI. Dr. Kent is a member of ISA VI, the general partner of ISP VI. Dr. Kent disclaims beneficial ownership of these 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.
- [F5]The reportable securities are owned directly by Intersouth Partners VII, L.P. ("ISP VII"). The shares directly held by ISP VII are indirectly held by Intersouth Associates VII, LLC ("ISA VII"), as general partner of ISP VII, and each of the individual managing members of ISA VII. The individual managing members (collectively, the "ISA VII Member Managers") of ISA VII are Mitch Mumma and Dennis Dougherty. ISA VII Member Managers may share voting and dispositive power over the shares directly held by ISP VII. Dr. Kent is a member of ISA VII, the general partner of ISP VII. Dr. Kent disclaims beneficial ownership of these 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.
- [F6]30% of the warrant is exercisable commencing on February 8, 2012, and the remaining balance of the warrant, upon issuance of the Third Post-Closing Consideration (as defined and set forth in Section 2.4 of the Exchange and Purchase Agreement by and among Cytomedix, Inc., Aldagen, Inc. and Aldagen Holdings, LLC, dated as of February 8, 2012).
Documents
Issuer
CYTOMEDIX INC
CIK 0001091596
Entity typeother
Related Parties
1- filerCIK 0001292660
Filing Metadata
- Form type
- 4
- Filed
- Feb 25, 7:00 PM ET
- Accepted
- Feb 26, 6:11 PM ET
- Size
- 29.1 KB