Initial Statement of Beneficial Ownership (3)
February 24 2020 - 4:01PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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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FARRIOR J REX III |
2. Date of Event Requiring Statement (MM/DD/YYYY)
11/15/2019
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3. Issuer Name and Ticker or Trading Symbol
H-CYTE, INC. [HCYT]
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(Last)
(First)
(Middle)
1306 W KENNEDY BOULEVARD |
4. 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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(Street)
TAMPA, FL 33606
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
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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 Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: 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 |
SERIES D PREFERRED STOCK | 11/15/2019 | (1) | COMMON STOCK | 14699757 | $0.4082 (2) | I | See Footnote (3) |
WARRANT | 11/15/2019 | 11/15/2029 | COMMON STOCK | 14699757 | $0.75 (2) | I | See Footnote (3) |
Explanation of Responses: |
(1) | No Expiration Date |
(2) | Subject to adjustment as per the terms of the definitive agreements / instruments. |
(3) | The Series D Preferred Stock and Warrant reported herein are held directly by FWHC Holdings, LLC (FHWC), and indirectly by HOA Capital LLC (HOA), the sole manager of FHWC, and J. Rex Farrior, III, the sole manager of HOA. Each of the reporting persons disclaims beneficial ownership of the common stock underlying the Series D Preferred Stock and Warrant except to the extent of its or his pecuniary interest therein. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
FARRIOR J REX III 1306 W KENNEDY BOULEVARD TAMPA, FL 33606 |
| X |
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FWHC HOLDINGS, LLC 1306 W KENNEDY BOULEVARD TAMPA, FL 33606 |
| X |
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HOA CAPITAL LLC 1306 W KENNEDY BOULEVARD TAMPA, FL 33606 |
| X |
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Signatures
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/s/ J. Rex Farrior, III | | 2/24/2020 |
**Signature of Reporting Person | Date |
/s/ J. Rex Farrior, III, o/b/o FWHC Holdings, LLC | | 2/24/2020 |
**Signature of Reporting Person | Date |
/s/ J. Rex Farrior, III, o/b/o HOA Capital LLC | | 2/24/2020 |
**Signature of Reporting Person | Date |
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