HOA CAPITAL LLC 4

Accession 0001804351-21-000001

CIK 0001591165other

Filed

Mar 14, 8:00 PM ET

Accepted

Mar 15, 4:15 PM ET

Size

20.0 KB

Accession

0001804351-21-000001

Form 4

Period: 2020-07-23

10% Owner

Transactions

Conversion
COMMON STOCK
2020-07-23$0.41/sh+15,518,111$6,334,493→ 15,518,111 total(indirect: (SEE FOOTNOTE})
Other
STOCK PURCHASE WARRANTS
2020-09-24+7,488,063→ 7,488,063 total(indirect: (SEE FOOTNOTE})
Exercise: $0.01From: 2020-09-24→ COMMON STOCK (7,488,063 underlying)
Conversion
SERIES D PREFERRED STOCK
2020-07-23+15,518,111→ 0 total(indirect: (SEE FOOTNOTE})
Exercise: $0.41From: 2019-11-15→ COMMON STOCK (15,518,111 underlying)
Other
SERIES A PREFERRED STOCK
2020-09-24$0.01/sh+7,488,063$104,833→ 7,488,063 total(indirect: (SEE FOOTNOTE})
From: 2020-09-24→ COMMON STOCK (7,488,063 underlying)
Other
SERIES A PREFERRED STOCK
2020-09-24$0.01/sh+7,142,857$100,000→ 14,630,920 total(indirect: (SEE FOOTNOTE})
From: 2020-09-24→ COMMON STOCK (7,142,857 underlying)

10% Owner

Transactions

Conversion
COMMON STOCK
2020-07-23$0.41/sh+15,518,111$6,334,493→ 15,518,111 total(indirect: (SEE FOOTNOTE})
Other
SERIES A PREFERRED STOCK
2020-09-24$0.01/sh+7,488,063$104,833→ 7,488,063 total(indirect: (SEE FOOTNOTE})
From: 2020-09-24→ COMMON STOCK (7,488,063 underlying)
Conversion
SERIES D PREFERRED STOCK
2020-07-23+15,518,111→ 0 total(indirect: (SEE FOOTNOTE})
Exercise: $0.41From: 2019-11-15→ COMMON STOCK (15,518,111 underlying)
Other
STOCK PURCHASE WARRANTS
2020-09-24+7,488,063→ 7,488,063 total(indirect: (SEE FOOTNOTE})
Exercise: $0.01From: 2020-09-24→ COMMON STOCK (7,488,063 underlying)
Other
SERIES A PREFERRED STOCK
2020-09-24$0.01/sh+7,142,857$100,000→ 14,630,920 total(indirect: (SEE FOOTNOTE})
From: 2020-09-24→ COMMON STOCK (7,142,857 underlying)

10% Owner

Transactions

Conversion
SERIES D PREFERRED STOCK
2020-07-23+15,518,111→ 0 total(indirect: (SEE FOOTNOTE})
Exercise: $0.41From: 2019-11-15→ COMMON STOCK (15,518,111 underlying)
Other
SERIES A PREFERRED STOCK
2020-09-24$0.01/sh+7,488,063$104,833→ 7,488,063 total(indirect: (SEE FOOTNOTE})
From: 2020-09-24→ COMMON STOCK (7,488,063 underlying)
Other
STOCK PURCHASE WARRANTS
2020-09-24+7,488,063→ 7,488,063 total(indirect: (SEE FOOTNOTE})
Exercise: $0.01From: 2020-09-24→ COMMON STOCK (7,488,063 underlying)
Other
SERIES A PREFERRED STOCK
2020-09-24$0.01/sh+7,142,857$100,000→ 14,630,920 total(indirect: (SEE FOOTNOTE})
From: 2020-09-24→ COMMON STOCK (7,142,857 underlying)
Conversion
COMMON STOCK
2020-07-23$0.41/sh+15,518,111$6,334,493→ 15,518,111 total(indirect: (SEE FOOTNOTE})

10% Owner

Transactions

Conversion
COMMON STOCK
2020-07-23$0.41/sh+15,518,111$6,334,493→ 15,518,111 total(indirect: (SEE FOOTNOTE})
Conversion
SERIES D PREFERRED STOCK
2020-07-23+15,518,111→ 0 total(indirect: (SEE FOOTNOTE})
Exercise: $0.41From: 2019-11-15→ COMMON STOCK (15,518,111 underlying)
Other
SERIES A PREFERRED STOCK
2020-09-24$0.01/sh+7,488,063$104,833→ 7,488,063 total(indirect: (SEE FOOTNOTE})
From: 2020-09-24→ COMMON STOCK (7,488,063 underlying)
Other
STOCK PURCHASE WARRANTS
2020-09-24+7,488,063→ 7,488,063 total(indirect: (SEE FOOTNOTE})
Exercise: $0.01From: 2020-09-24→ COMMON STOCK (7,488,063 underlying)
Other
SERIES A PREFERRED STOCK
2020-09-24$0.01/sh+7,142,857$100,000→ 14,630,920 total(indirect: (SEE FOOTNOTE})
From: 2020-09-24→ COMMON STOCK (7,142,857 underlying)

Footnotes (7)

[F1]Common stock held directly by FWHC Holdings, LLC (FHWC), Series A preferred stock and warrants held directly by FWHC Bridge Friends, LLC (Bridge Friends). All held indirectly by HOA Capital LLC (HOA), the sole manager of FWHC and Bridge Friends, and J. Rex Farrior, III, the sole manager of HOA. Each of the reporting persons disclaims beneficial ownership of the securities except to the extent of its or his pecuniary interest therein.
[F2]Redeemable at option of requisite number of holders in specified circumstances.
[F3]Represents 14,699,757 original shares and 818,354 shares representing accumulated dividends at conversion.
[F4]Received upon conversion of variable conversion price notes at closing of Qualified Financing. Conversion price became fixed at such closing. Series A stock is convertible into common stock on a 1:1 basis.
[F5]Received in connection with variable conversion price notes. No additional consideration was paid for warrants. Exercise price became fixed at closing of Qualified Financing.
[F6]Purchased as part of backstop commitment in Qualified Financing. Series A stock is convertible into common stock on a 1:1 basis.
[F7]NOT APPLICABLE

Documents

1 file

H-CYTE, INC.

CIK 0001591165

Entity typeother

IncorporatedDE