Sec Form 4 Filing - Girao Tiago @ CYTORI THERAPEUTICS, INC. - 2018-07-25

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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Girao Tiago
2. Issuer Name and Ticker or Trading Symbol
CYTORI THERAPEUTICS, INC. [ CTYX]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
VP & Chief Financial Officer
(Last) (First) (Middle)
3020 CALLAN ROAD
3. Date of Earliest Transaction (MM/DD/YY)
07/25/2018
(Street)
SAN DIEGO, CA92121
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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 of Derivative Security: 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
Subscription Rights (Right to Buy) $ 1,000 07/25/2018 X 1 06/29/2018 07/20/2018 See Footnote ( 1 ) ( 1 ) ( 1 ) 0 D
Series C Preferred Stock $ 0.7986 07/25/2018 X 1 07/25/2018 ( 2 ) Common Stock 1,253 ( 1 ) 1 D
Warrants (Right to Buy) $ 0.7986 07/25/2018 X 1,050 ( 3 ) 01/25/2021 Common Stock 1,050 ( 1 ) 1,050 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Girao Tiago
3020 CALLAN ROAD
SAN DIEGO, CA92121
VP & Chief Financial Officer
Signatures
/s/ Tiago Girao 07/27/2018
Signature of Reporting Person Date
Explanation of Responses:
( 1 )The preferred stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by Cytori Therapeutics, Inc. (the "Company") to all holders of the Company's common stock and Series B Preferred Stock on June 26, 2018. The subscription rights entitled each recipient to purchase units ("Units"). Each Unit consists of one share of the Company's Series C Preferred stock (convertible into 1,253 of the Company's common stock) and 1,050 warrants, with each warrant representing the right to purchase one share of the Company's common stock. The purchase price for each Unit was $1,000.
( 2 )The Series C Preferred Stock has no expiration date.
( 3 )Each warrant entitles the holder to purchase one share of the Company's common stock at an exercise price of $0.7986 through January 25, 2021.

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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