SEC Info - Tozer Dean - ‘3/A’ for 3/30/14 re: Nuo Therapeutics, Inc.

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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^*

TOZER DEAN

(Last)

(First)

(Middle)

209 PERRY PARKWAY

SUITE 7

(Street)

GAITHERSBURG

20877

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
3/30/14

3. Issuer Name and Ticker or Trading Symbol
CYTOMEDIX INC [ CMXI ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
CHIEF COMMERCIAL OFFICER

5. If Amendment, Date of Original Filed (Month/Day/Year)
4/10/14

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
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)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
WARRANTS TO PURCHASE SHARES OF COMMON STOCK ⁽¹⁾	10/15/13	10/15/15	COMMON STOCK	100,000	0.37	D
OPTIONS TO PURCHASE SHARES OF COMMON STOCK	⁽²⁾	⁽²⁾	COMMON STOCK	1,350,000	0.6 ⁽²⁾ ⁽³⁾	D

Explanation of Responses:

(1) Approved by the Board of Directors and issued by the Company in connection with the Consulting Agreement dated October 15, 2013, as amended to date.

(2) Includes (i) 350,000 options to purchase shares of the Company's common stock granted on April 8, 2014, under the 2013 Equity Incentive Plan (the "2013 Plan") with the exercise price of $0.60 per share, expiring ten years after the grant with 58,333 options vesting in June 2014 and the remaining balance - in equal monthly installments of 29,167 options vesting from July 2014 through April 2015, and (ii) 1,000,000 options to purchase shares of the Company's common stock granted by the Board on July 17, 2014 under the 2002 Long-Term Incentive Plan with the exercise price of $0.60 per share, expiring ten years after the grant, with 164,000 options vesting in April 2015 and the remaining balance - in equal monthly installments of 41,800 options vesting from May 2015 through December 2016. The foregoing grants have been approved by the Board of Directors.

(3) This Amendment to the previously filed Form 3 is being filed to amend and update the previously reported options granted in April 2014.

	/s/ Dean Tozer	7/28/14
	** 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 5 (b)(v).
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Tozer Dean – ‘3/A’ for 3/30/14 re: Nuo Therapeutics, Inc.

On: Monday, 7/28/14, at 5:01pm ET · For: 3/30/14 · As: Officer · Accession #: 1144204-14-45219 · File #: 1-32518

Previous ‘3’: ‘3’ on 4/10/14 for 3/30/14 · Latest ‘3’: This Filing

Amendment to Initial Statement of Beneficial Ownership of Securities by an Insider — Form 3 — SEA’34
Filing Table of Contents

This ‘3/A’ Document is an XML Data File that may be rendered in various formats:

Tozer Dean – ‘3/A’ for 3/30/14 re: Nuo Therapeutics, Inc.

On: Monday, 7/28/14, at 5:01pm ET · For: 3/30/14 · As: Officer · Accession #: 1144204-14-45219 · File #: 1-32518

Previous ‘3’: ‘3’ on 4/10/14 for 3/30/14 · Latest ‘3’: This Filing

Amendment to Initial Statement of Beneficial Ownership of Securities by an Insider — Form 3 — SEA’34Filing Table of Contents

This ‘3/A’ Document is an XML Data File that may be rendered in various formats:

Amendment to Initial Statement of Beneficial Ownership of Securities by an Insider — Form 3 — SEA’34
Filing Table of Contents