Cytori Therapeutics, Inc.
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(Name of Issuer)
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Common Stock
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(Title of Class of Securities)
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23283K204
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(CUSIP Number)
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December 29, 2017
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(Date of Event which Requires Filing of this Statement)
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☒ |
Rule 13d-1(b)
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☐ |
Rule 13d-1(c)
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☐ |
Rule 13d-1(d)
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CUSIP No.
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23283K204
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1
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NAMES OF REPORTING PERSONS
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I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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Swissquote Bank SA
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a)☐
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(b)☐
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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Gland, Switzerland
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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5
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SOLE VOTING POWER
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5,540,055
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6
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SHARED VOTING POWER
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7
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SOLE DISPOSITIVE POWER
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5,540,055
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8
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SHARED DISPOSITIVE POWER
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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5,540,055
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10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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☐
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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12.0%
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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FI
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(a)
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Name of Issuer:
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(b)
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Address of Issuer’s Principal Executive Offices:
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(a) |
Name of Person Filing:
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(b) |
Address of Principal Business Office or, if None, Residence:
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(c) |
Citizenship:
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(d) |
Title and Class of Securities:
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(e) |
CUSIP No.:
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Item 3. |
If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
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(a) | ☐ | Broker or dealer registered under Section 15 of the Act; |
(b) | ☐ | Bank as defined in Section 3(a)(6) of the Act; |
(c) | ☐ | Insurance company as defined in Section 3(a)(19) of the Act; |
(d) | ☐ | Investment company registered under Section 8 of the Investment Company Act of 1940; |
(e) | ☐ | An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); |
(f) | ☐ | An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); |
(g) | ☐ | A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); |
(h) | ☐ | A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
(i) | ☐ | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940; |
(j) | ☒ | A non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J); |
(k) | ☐ | Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J), please specify the type of institution: ____ |
(a) |
Amount Beneficially Owned: 5,540,055
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(b) |
Percent of Class: 12.0%
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(c) |
Number of shares as to which such person has:
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(i) |
Sole power to vote or to direct the vote: 5,540,055
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(ii) |
Shared power to vote or to direct the vote: None.
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(iii) |
Sole power to dispose or to direct the disposition of: 5,540,055
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(iv) |
Shared power to dispose or to direct the disposition of: None.
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Item 5.
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Ownership of Five Percent or Less of a Class.
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Item 6. |
Ownership of more than Five Percent on Behalf of Another Person.
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Item 7. |
Identification and classification of the subsidiary which acquired the security being reported on by the parent holding company or control person.
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Item 8. |
Identification and classification of members of the group.
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Item 9. |
Notice of Dissolution of Group.
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Item 10. |
Certifications.
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Dated: January 4, 2018
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By:
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/s/ Loïc Ancquetil
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Name:
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Loïc Ancquetil
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Title:
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Head Legal
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