| FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | ||||||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
CYTOMEDIX INC [ CMXI ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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| 3. Date of Earliest Transaction
(Month/Day/Year) 02/13/2012 |
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| 4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock | 02/13/2012 | S | 39,775 | D | $1.252 | 6,349,742 | D | |||
| Common Stock | 02/14/2012 | S | 27,000 | D | $1.2 | 6,322,742 | D | |||
| Common Stock | 02/15/2012 | S | 76,313 | D | $1.154 | 6,246,429 | D | |||
| Common Stock | 02/15/2012 | X | 200,000 | A | $0.5368 | 6,446,429 | D | |||
| Common Stock | 02/15/2012 | X | 178,571 | A | $0.5 | 6,625,000 | D | |||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities) |
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| 1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Warrant | (1) | 02/15/2012 | X | 200,000 | (1) | (1) | Common Stock | (1) | (1) | 701,065 | D | ||||
| Warrant | (2) | 02/15/2012 | X | 178,571 | (2) | (2) | Common Stock | (2) | (2) | 522,494 | D | ||||
| Explanation of Responses: |
| 1. Represents shares of common stock of the Company issued upon exercise of an in-the-money guarantor warrant issued in connection with the April 2010 private placement of the Company's securities and the Company's then outstanding note obligation to the Sorin Group. The exercise price per share of such warrant is $0.5368. The warrant was exercisable immediately and expires on April 9, 2015. |
| 2. Represents shares of common stock of the Company issued upon exercise of in-the-money guarantor warrants issued in connection with the April 2011 secured promissory note issued by the Company. The 321,427 warrants are exercisable at a price of $0.50 per share, with 178,571 shares vesting immediately upon issuance of the note, and remaining balance of the warrants vesting and exercisable in tranches if the note has not been repaid by the Company on its first, second and third anniversaries of the issuance of the note. The warrant expires on April 28, 2016. |
| /s/ David Jorden | 02/15/2012 | |
| ** 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 4 (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. | ||