Sec Form 3 Filing - FARRIOR J REX III @ H-CYTE, INC. - 2019-11-15

Insider filing report for Changes in Beneficial Ownership
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FORM 3
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
FARRIOR J REX III
2. Issuer Name and Ticker or Trading Symbol
H-CYTE, INC. [ HCYT]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
1306 W KENNEDY BOULEVARD
3. Date of Earliest Transaction (MM/DD/YY)
11/15/2019
(Street)
TAMPA, FL33606
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
_____ Form filed by One Reporting Person
__ X __ 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
SERIES D PREFERRED STOCK $ 0.4082 ( 2 ) 11/15/2019 ( 1 ) COMMON STOCK 14,699,757 I See Footnote ( 3 )
WARRANT $ 0.75 ( 2 ) 11/15/2019 11/15/2029 COMMON STOCK 14,699,757 I See Footnote ( 3 )
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
FARRIOR J REX III
1306 W KENNEDY BOULEVARD
TAMPA, FL33606
X
FWHC HOLDINGS, LLC
1306 W KENNEDY BOULEVARD
TAMPA, FL33606
X
HOA CAPITAL LLC
1306 W KENNEDY BOULEVARD
TAMPA, FL33606
X
Signatures
/s/ J. Rex Farrior, III 02/24/2020
Signature of Reporting Person Date
/s/ J. Rex Farrior, III, o/b/o FWHC Holdings, LLC 02/24/2020
Signature of Reporting Person Date
/s/ J. Rex Farrior, III, o/b/o HOA Capital LLC 02/24/2020
Signature of Reporting Person Date
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.

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).

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