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 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 F Convertible Preferred Stock
|
Â
(1)
|
Â
(1)
|
Common Stock
|
227,363,000
|
$
(2)
|
I
|
See Footnote
(1)
|
5% Convertible Promissory Note
|
08/28/2019 |
03/01/2021 |
Common Stock
|
16,959,339
|
$
0.09
|
I
|
See Footnote
(3)
|
* |
If the form is filed by more than one reporting person, see Instruction 5(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). |
(1) |
Reflects 1,136,815 shares of Series F Convertible Preferred Stock ("Convertible Preferred Stock") owned of record by CGI Cellerate RX, LLC that are immediately convertible into 237,363,000 shares of Common Stock with equivalent voting rights. The Convertible Preferred Stock is convertible at any time, at the holder's election and has no expiration date. CGI Cellerate RX, LLC is a wholly owned subsidiary of Catalyst Rochal, LLC. Mr. Nixon is a manager of Catalyst Rochal, LLC. By virtue of these relationships, Mr. Nixon, Catalyst Rochal, LLC and CGI Cellerate RX, LLC may be deemed to share voting and dispositive control over the Common Stock issuable upon the conversion of the Convertible Preferred Stock. Mr. Nixon and Catalyst Rochal, LLC disclaim beneficial ownership of any Common Stock held or beneficially owned by CGI Cellerate RX, LLC, except to the extent of each of their pecuniary interests therein. |
(2) |
The Convertible Preferred Stock is convertible at on a 200 for 1 basis into fully paid and nonassessable shares of the Issuer's Common Stock. |
(3) |
Reflects a $1,500,000.00 Convertible Promissory Note ("Note") from Wound Management Technologies, Inc. ("Issuer") to CGI Cellerate RX, LLC convertible into 16,959,339 shares of common stock of the Issuer at $0.09 per share as of December 31, 2018. CGI Cellerate RX, LLC is a wholly owned subsidiary of Catalyst Rochal, LLC. Mr. Nixon is a manager of Catalyst Rochal, LLC. By virtue of these relationships, Mr. Nixon, Catalyst Rochal, LLC and CGI Cellerate RX, LLC may be deemed to share voting and dispositive control over the Common Stock issuable upon the conversion of the Note. Mr. Nixon and Catalyst Rochal, LLC disclaim beneficial ownership of any Common Stock held or beneficially owned by CGI Cellerate RX, LLC, except to the extent of each of their pecuniary interests therein. |