<SEC-DOCUMENT>0001564590-17-018873.txt : 20170921
<SEC-HEADER>0001564590-17-018873.hdr.sgml : 20170921
<ACCEPTANCE-DATETIME>20170921161529
ACCESSION NUMBER:		0001564590-17-018873
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20170920
ITEM INFORMATION:		Entry into a Material Definitive Agreement
FILED AS OF DATE:		20170921
DATE AS OF CHANGE:		20170921

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			CYTORI THERAPEUTICS, INC.
		CENTRAL INDEX KEY:			0001095981
		STANDARD INDUSTRIAL CLASSIFICATION:	SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841]
		IRS NUMBER:				330827593
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-34375
		FILM NUMBER:		171095943

	BUSINESS ADDRESS:	
		STREET 1:		3020 CALLAN ROAD
		CITY:			SAN DIEGO
		STATE:			CA
		ZIP:			92121
		BUSINESS PHONE:		8584580900

	MAIL ADDRESS:	
		STREET 1:		3020 CALLAN ROAD
		CITY:			SAN DIEGO
		STATE:			CA
		ZIP:			92121

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	MACROPORE INC
		DATE OF NAME CHANGE:	20010320
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-K
<SEQUENCE>1
<FILENAME>cytx-8k_20170920.htm
<DESCRIPTION>8-K
<TEXT>
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cytx-8k_20170920.htm
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;color:#000000;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">UNITED STATES</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;color:#000000;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">SECURITIES AND EXCHANGE COMMISSION</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;color:#000000;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Washington, D.C. 20549</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:11pt;">&nbsp;</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;color:#000000;font-size:16pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Form 8-K</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:11pt;">&nbsp;</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;color:#000000;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Current Report&#160;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:11pt;">&nbsp;</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;color:#000000;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:11pt;">&nbsp;</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Date of Report<font style="font-weight:bold;">&#160;</font>(Date of earliest event reported):<font style="font-weight:bold;">&#160; September 20, 2017</font></p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:11pt;">&nbsp;</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;color:#000000;font-size:20pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">CYTORI THERAPEUTICS, INC.</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">(Exact name of registrant as specified in its charter)</p>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;color:#000000;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Delaware</p></td>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;color:#000000;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">001-34375</p></td>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;color:#000000;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">33-0827593</p></td>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;color:#000000;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">(Commission File</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;color:#000000;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Number)</p></td>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;color:#000000;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">(I.R.S. Employer Identification Number)</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:11pt;">&nbsp;</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;color:#000000;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">3020 Callan Road, San Diego, California 92121</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">(Address of principal executive offices, with zip code)</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:11pt;">&nbsp;</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;color:#000000;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">(858) 458-0900</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">(Registrant's telephone number, including area code)</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:11pt;">&nbsp;</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;color:#000000;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">n/a</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">(Former name or former address, if changed since last report)</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:3.67%;color:#000000;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (<font style="font-style:italic;">see</font> General Instruction A.2. below):</p>
<p style="text-align:justify;margin-bottom:0pt;margin-top:0pt;text-indent:0%;color:#000000;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="hangingindent"></a><a name="hangingindent"></a>&#160;</p>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="&#116;&#97;&#98;&#50;"></a>&#160;&#160;&#160;&#160;Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;&#160;&#160;&#160;Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;&#160;&#160;&#160;Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;&#160;&#160;&#160;Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0.96%;text-indent:0%;font-family:Times New Roman;font-size:10pt;"><a name="pgbrk"></a>&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0.96%;text-indent:0%;color:#070707;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Indicate<font style="letter-spacing:-0.15pt;"> </font>by<font style="letter-spacing:0.3pt;"> </font>check<font style="letter-spacing:-0.1pt;"> </font>mark whether<font style="letter-spacing:0.05pt;"> </font>the<font style="letter-spacing:-0.15pt;"> </font>registrant<font style="letter-spacing:0.25pt;"> </font>is <font style="color:#171717;">a</font>n<font style="letter-spacing:0.1pt;"> </font>emerging<font style="letter-spacing:-0.1pt;"> </font>growth<font style="letter-spacing:0.15pt;"> </font>company<font style="letter-spacing:0.1pt;"> </font>as<font style="letter-spacing:-0.05pt;"> </font>defined<font style="letter-spacing:-0.1pt;"> </font>in as<font style="letter-spacing:-0.05pt;"> </font>defined<font style="letter-spacing:0.1pt;"> </font>in<font style="letter-spacing:-0.2pt;"> </font>Rule<font style="letter-spacing:0.05pt;"> </font>405<font style="letter-spacing:0.15pt;"> </font>of the<font style="letter-spacing:0.4pt;"> </font>Securities</p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0.96%;margin-right:7.22%;text-indent:-0.04%;color:#070707;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Act<font style="letter-spacing:0.35pt;"> </font>of<font style="letter-spacing:1.05pt;"> </font>1933<font style="letter-spacing:-0.9pt;"> </font>(&#167;<font style="letter-spacing:-0.75pt;"> </font>230.405<font style="letter-spacing:0.3pt;"> </font>of<font style="letter-spacing:-0.2pt;"> </font>this<font style="letter-spacing:0.15pt;"> </font>chapter)<font style="letter-spacing:0.05pt;"> </font>or<font style="letter-spacing:-0.2pt;"> </font>Rule<font style="letter-spacing:1.1pt;"> </font>12b-2<font style="letter-spacing:-0.8pt;"> </font>of<font style="letter-spacing:-0.2pt;"> </font>the<font style="letter-spacing:0.4pt;"> </font>Securities<font style="letter-spacing:-0.35pt;"> </font>Exchange<font style="letter-spacing:-0.15pt;"> </font>Act<font style="letter-spacing:0.35pt;"> </font>of<font style="letter-spacing:0.9pt;"> </font>1934<font style="letter-spacing:-0.7pt;"> </font>(&#167;<font style="letter-spacing:-0.75pt;"> </font>240.12b-2<font style="letter-spacing:0.25pt;"> </font>of<font style="letter-spacing:-0.2pt;"> </font>this<font style="letter-spacing:0.15pt;"> </font>chapter). Emerging<font style="letter-spacing:0.2pt;"> </font>growth<font style="letter-spacing:0.15pt;"> </font>company<font style="letter-spacing:0.45pt;"> </font><font style="color:#000000;font-size:11pt;">&#9633;</font></p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;color:#070707;font-size:9pt;font-family:Arial;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">If<font style="letter-spacing:1.85pt;"> </font><font style="font-family:Times New Roman;font-size:10pt;">an</font><font style="letter-spacing:0.1pt;font-family:Times New Roman;font-size:10pt;"> </font><font style="font-family:Times New Roman;font-size:10pt;">emerging</font><font style="letter-spacing:-0.1pt;font-family:Times New Roman;font-size:10pt;"> </font><font style="font-family:Times New Roman;font-size:10pt;">growth</font><font style="letter-spacing:-0.05pt;font-family:Times New Roman;font-size:10pt;"> </font><font style="font-family:Times New Roman;font-size:10pt;">company,</font><font style="letter-spacing:0.1pt;font-family:Times New Roman;font-size:10pt;"> </font><font style="font-family:Times New Roman;font-size:10pt;">indi</font><font style="letter-spacing:-0.05pt;font-family:Times New Roman;font-size:10pt;">c</font><font style="color:#171717;font-family:Times New Roman;font-size:10pt;">a</font><font style="font-family:Times New Roman;font-size:10pt;">te</font><font style="letter-spacing:-0.3pt;font-family:Times New Roman;font-size:10pt;"> </font><font style="font-family:Times New Roman;font-size:10pt;">by</font><font style="letter-spacing:0.3pt;font-family:Times New Roman;font-size:10pt;"> </font><font style="font-family:Times New Roman;font-size:10pt;">check</font><font style="letter-spacing:-0.25pt;font-family:Times New Roman;font-size:10pt;"> </font><font style="font-family:Times New Roman;font-size:10pt;">mark</font><font style="letter-spacing:0.35pt;font-family:Times New Roman;font-size:10pt;"> </font><font style="font-family:Times New Roman;font-size:10pt;">if</font><font style="letter-spacing:-0.15pt;font-family:Times New Roman;font-size:10pt;"> </font><font style="font-family:Times New Roman;font-size:10pt;">the</font><font style="letter-spacing:-0.15pt;font-family:Times New Roman;font-size:10pt;"> </font><font style="font-family:Times New Roman;font-size:10pt;">registrant</font><font style="letter-spacing:0.05pt;font-family:Times New Roman;font-size:10pt;"> </font><font style="font-family:Times New Roman;font-size:10pt;">has</font><font style="letter-spacing:0.2pt;font-family:Times New Roman;font-size:10pt;"> </font><font style="font-family:Times New Roman;font-size:10pt;">elected</font><font style="letter-spacing:-0.2pt;font-family:Times New Roman;font-size:10pt;"> </font><font style="font-family:Times New Roman;font-size:10pt;">not to use the</font><font style="letter-spacing:0.2pt;font-family:Times New Roman;font-size:10pt;"> </font><font style="font-family:Times New Roman;font-size:10pt;">e</font><font style="color:#171717;font-family:Times New Roman;font-size:10pt;">x</font><font style="font-family:Times New Roman;font-size:10pt;">tended</font><font style="letter-spacing:-0.25pt;font-family:Times 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style="font-family:Times New Roman;font-size:10pt;">or</font><font style="letter-spacing:-0.2pt;font-family:Times New Roman;font-size:10pt;"> </font><font style="font-family:Times New Roman;font-size:10pt;">re</font><font style="color:#171717;font-family:Times New Roman;font-size:10pt;">v</font><font style="font-family:Times New Roman;font-size:10pt;">ised</font><font style="letter-spacing:0.3pt;font-family:Times New Roman;font-size:10pt;"> </font><font style="font-family:Times New Roman;font-size:10pt;">financial</font><font style="letter-spacing:-0.05pt;font-family:Times New Roman;font-size:10pt;"> </font><font style="font-family:Times New Roman;font-size:10pt;">accounting</font><font style="letter-spacing:0.05pt;font-family:Times New Roman;font-size:10pt;"> </font><font style="font-family:Times New Roman;font-size:10pt;">standards</font><font style="letter-spacing:-0.5pt;font-family:Times New Roman;font-size:10pt;"> </font><font style="font-family:Times New Roman;font-size:10pt;">pro</font><font style="color:#171717;font-family:Times New Roman;font-size:10pt;">v</font><font style="font-family:Times New Roman;font-size:10pt;">ided</font><font style="letter-spacing:0.1pt;font-family:Times New Roman;font-size:10pt;"> </font><font style="font-family:Times New Roman;font-size:10pt;">pursuant</font><font style="letter-spacing:0.15pt;font-family:Times New Roman;font-size:10pt;"> </font><font style="font-family:Times New Roman;font-size:10pt;">to</font><font style="letter-spacing:0.5pt;font-family:Times New Roman;font-size:10pt;"> </font><font style="font-family:Times New Roman;font-size:10pt;">Section</font><font style="letter-spacing:0.6pt;font-family:Times New Roman;font-size:10pt;"> </font><font style="font-family:Times New Roman;font-size:10pt;">13(a)</font><font style="letter-spacing:-0.9pt;font-family:Times New Roman;font-size:10pt;"> </font><font style="font-family:Times New Roman;font-size:10pt;">of</font><font style="letter-spacing:-0.2pt;font-family:Times New Roman;font-size:10pt;"> </font><font style="font-family:Times New Roman;font-size:10pt;">the</font><font style="letter-spacing:0.05pt;font-family:Times New Roman;font-size:10pt;"> </font><font style="font-family:Times New Roman;font-size:10pt;">E</font><font style="color:#171717;font-family:Times New Roman;font-size:10pt;">x</font><font style="font-family:Times New Roman;font-size:10pt;">change</font><font style="letter-spacing:0.05pt;font-family:Times New Roman;font-size:10pt;"> </font><font style="font-family:Times New Roman;font-size:10pt;">Act.</font><font style="color:#000000;font-size:11pt;font-family:Times New Roman;"> &#9633;</font></p>
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<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-family:Times New Roman;font-size:10pt;font-style:normal;text-transform:none;font-variant: normal;"><a name="hdr"></a><a name="_AEIOULastRenderedPageBreakAEIOU2"></a><font style="font-weight:bold;font-family:Times New Roman;font-size:10pt;font-style:normal;text-transform:none;font-variant: normal;">Item 1.01.&nbsp;&nbsp;Entry into Material Definitive Agreement.</font></p>
<p style="margin-top:10pt;margin-bottom:0pt;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;text-indent:7.69%;">On September 20, 2017, Cytori Therapeutics, Inc. (the &#8220;Company&#8221;) entered into an amendment (the &#8220;Amendment&#8221;) to its existing Loan and Security Agreement, dated May 29, 2015 (the &#8220;Loan Agreement&#8221;), with Oxford Finance LLC (&#8220;Oxford&#8221;), as collateral agent, and the lenders party thereto, including Oxford (the &#8220;Lenders&#8221;), pursuant to which, among other things, Oxford and the Lenders agreed to reduce the minimum liquidity covenant level from $5 million to $1.5 million.&nbsp;&nbsp;The Amendment also extends the interest-only period under the Loan Agreement to January 1, 2018, with a further extension through August 1, 2018 if the Company receives unrestricted net cash proceeds of at least $5 million on or before December 29, 2017.</p>
<p style="margin-top:10pt;margin-bottom:0pt;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;text-indent:7.69%;">The Amendment requires that the Company pledge its intellectual property in favor of Oxford.&nbsp;&nbsp;Such pledge will be released upon the Company achieving certain liquidity when the total principal outstanding under the Loan Agreement is less than $3 million.</p>
<p style="margin-top:10pt;margin-bottom:0pt;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;text-indent:7.69%;">The foregoing description of the Amendment does not purport to be complete and is qualified in its entirety by reference to the full text of the Amendment, which will be filed as an exhibit to the Company&#8217;s Quarterly Report on Form 10-Q for the quarter ended September 30, 2017.</p>
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<p style="margin-bottom:0pt;margin-top:0pt;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="font-weight:bold;">SIGNATURES</font></p>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="text-decoration:underline;">By: /s/ Tiago Girao</font></p></td>
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