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| x | ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
|---|--------------------------------------------------------------------------------------|

| o | TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
|---|------------------------------------------------------------------------------------------|

| DELAWARE                                                       |   | 33-0827593                           |
|----------------------------------------------------------------|--------|--------------------------------------|
| (State or Other Jurisdiction of Incorporation or Organization) |   | (I.R.S. Employer Identification No.) |
|                                                           |   |                                 |
| 3020 CALLAN ROAD, SAN DIEGO, CALIFORNIA                        |   | 92121                                |
| (Address of principal executive offices)                       |   | (Zip Code)                           |

| Title of each class                                                                    |   | Name of each exchange on which registered |
|----------------------------------------------------------------------------------------|--------|-------------------------------------------|
| Common stock, par value $0.001Warrants, exercisable for common stock, par value $0.001 |   |  NASDAQ                              |

| Large accelerated filer   o | Accelerated filer x | Non-accelerated filer o                       | Smaller reporting company o |
|--------------------------------------------|---------------------|-----------------------------------------------|-----------------------------|
|                                       |                | (Do not check if a smaller reporting company) |                        |

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TABLE OF CONTENTS

|     |                                                                                           | Page   |
|----------|------------------------------------------------------------------------------------------------|--------|
|     |                                                                                           |   |
|     | PART III                                                                                       |   |
|     |                                                                                           |   |
| Item 10. | Directors, Executive Officers and Corporate Governance                                         | 3      |
|     |                                                                                           |   |
| Item 11. | Executive Compensation                                                                         | 8      |
|     |                                                                                           |   |
| Item 12. | Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters | 23     |
|     |                                                                                           |   |
| Item 13. | Certain Relationships and Related Transactions, and Director Independence                      | 24     |
|     |                                                                                           |   |
| Item 14. | Principal Accounting Fees and Services                                                         | 25     |
|     |                                                                                           |   |
|     | PART IV                                                                                        |   |
|     |                                                                                           |   |
| Item 15. | Exhibits, Financial Statement Schedules                                                        | 26     |

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| Item 10. | Directors, Executive Officers and Corporate Governance |
|----------|--------------------------------------------------------|

| Name                   | Age | Position                           |
|------------------------|-----|------------------------------------|
| David M. Rickey        | 58  | Chairman of the Board of Directors |
| Marc H. Hedrick, MD    | 51  | President & CEO and Director   |
| Christopher J. Calhoun | 48  | Director                           |
| Lloyd H. Dean          | 63  | Director                           |
| Richard J. Hawkins     | 65  | Director                           |
| Paul W. Hawran         | 62  | Director                           |
| E. Carmack Holmes, MD  | 76  | Director                           |
| Gary A. Lyons          | 63  | Director                           |
| Tommy G. Thompson      | 72  | Director                           |

| Name              | Age | Position                                             |
|-------------------|-----|------------------------------------------------------|
| Mark E. Saad      | 44  | Chief Financial Officer                              |
| Steven Kesten, MD | 55  | Executive Vice President & Chief Medical Officer |
| Clyde W. Shores   | 54  | Executive Vice President, Marketing & Sales      |

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|   | · | Makes recommendations to the Committee regarding the base salary, bonus and stock option award levels for our other executive officers; and |
|--------|--------|---------------------------------------------------------------------------------------------------------------------------------------------|

|   | · | Provides an annual recommendation to the Committee regarding overall Company performance objectives for the year and the individual performance objectives of each of our executive officers with respect to our Executive Management Incentive Compensation Plan, and reports to the Committee on the satisfaction of each such objective. |
|--------|--------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

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| Item 11. | Executive Compensation |
|----------|------------------------|

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|   | · | Base Salary; |
|--------|--------|--------------|

|   | · | Annual short-term performance–based cash incentives (The Executive Management Incentive Compensation Plan); |
|--------|--------|-------------------------------------------------------------------------------------------------------------------|

|   | · | Long-term equity compensation in the form of Stock Options; |
|--------|--------|-------------------------------------------------------------|

|   | · | Short-term equity compensation in the form of time and performance vested restricted stock awards; |
|--------|--------|----------------------------------------------------------------------------------------------------|

|   | · | Personal benefits and perquisites; and |
|--------|--------|----------------------------------------|

|   | · | Change in control and severance agreements. |
|--------|--------|---------------------------------------------|

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| Company                   |   | Market Capitalization as of October 14, 2013 |
|---------------------------|--------|----------------------------------------------|
| Cytokinetics              |   | $206.6 Million                               |
| Dynavax Technologies      |   | $214.2 Million                               |
| Geron                     |   | $396.2 Million                               |
| Peregrine Pharmaceuticals |   | $222.2 Million                               |
| Rigel Pharmaceutics       |   | $296.4 Million                               |
| Ziopharm Oncology         |   | $375.9 Million                               |
| Arena Pharmaceuticals     |   | $953.8 Million                               |
| Athersys                  |   | $109.5 Million                               |
| AVEO Pharmaceuticals      |   | $110.6 Million                               |
| BioCryst Pharmaceuticals  |   | $386.6 Million                               |
| Cell Therapeutics         |   | $218.9 Million                               |
| Dyax                      |   | $718.4 Million                               |
| Hansen Medical            |   | $138.2 Million                               |
| Immunomedics              |   | $448.7 Million                               |
| Ligand Pharmaceuticals    |   | $971.3 Million                               |
| NeoStem                   |   | $188.1 Million                               |
| Neurocrine Biosciences    |   | $688.7 Million                               |
| Novavax                   |   | $627.4 Million                               |
| Osiris Therapeutics       |   | $594.2 Million                               |
| Pain Therapeutics         |   | $126.3 Million                               |
| Sangamo BioSciences       |   | $605.5 Million                               |
| Solta Medical             |   | $170.7 Million                               |
| StemCells                 |   | $59.1 Million                                |

|        |   | 2012/2013 Base Salary |    |   | 2013/2014 Base Salary |   |    | Target Bonus % |   |
|-------------|--------|-----------------------|---------|--------|-----------------------|--------|---------|----------------|--------|
| Mr. Calhoun |   | $                     | 467,900 |   |                  | $      | 467,900 |           |   |   | 50 | % |
| Dr. Hedrick |   | $                     | 406,628 |   |                  | $      | 406,628 |           |   |   | 40 | % |
| Mr. Saad    |   | $                     | 389,917 |   |                  | $      | 389,917 |           |   |   | 35 | % |
| Dr. Kesten  |   | $                     | 400,000 |   |                  | $      | 400,000 |           |   |   | 25 | % |
| Mr. Shores  |   | $                     | 329,469 |   |                  | $      | 329,469 |           |   |   | 30 | % |

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| o   | Cash Business Deal  Objectives |
|---------------|------------------------------------------|

| o   | Achieve current year non-dilutive cash and deal premium objectives |
|---------------|--------------------------------------------------------------------|

| o   | Financial Objectives |
|---------------|----------------------|

| o   | Accelerate global revenue growth to specified targets |
|---------------|-------------------------------------------------------|

| o   | Reduce global operating loss (excluding stock based compensation) to specified targets |
|---------------|----------------------------------------------------------------------------------------|

| o   | Achieve gross margin targets |
|---------------|------------------------------|

| o   | BARDA Objectives |
|---------------|------------------|

| o   | Achieve specified BARDA project related milestones |
|---------------|----------------------------------------------------|

| o   | Next Generation Device Development Objectives |
|---------------|-----------------------------------------------|

| o   | Achieve specified next generation device development milestones |
|---------------|-----------------------------------------------------------------|

| o   | Regulatory and Clinical Objectives |
|---------------|------------------------------------|

| o   | ATHENA Clinical Trial |
|---------------|-----------------------|

| §   | Achieve 45 patient enrollment |
|--------------------|-------------------------------|

| o   | ADVANCE  Clinical Trial |
|---------------|-----------------------------------|

| §   | Achieve 25 patient enrollment by year-end |
|--------------------|-------------------------------------------|

| o   | RECOVER Clinical Trial |
|---------------|------------------------|

| §   | Achieve initiation and enrollment goals |
|--------------------|-----------------------------------------|

| ·   | Achieve specified clinical and regulatory objectives |
|--------------------|------------------------------------------------------|

| ·   | Achieve specified budget objectives |
|--------------------|-------------------------------------|

| ·   | Commercial objectives including: |
|--------------------|----------------------------------|

| o   | Launch specified products |
|---------------|---------------------------|

| o   | Develop new commercial sites in specified therapy areas |
|---------------|---------------------------------------------------------|

| o   | Expansion into new markets |
|---------------|----------------------------|

| ·   | Next generation device development milestones |
|--------------------|-----------------------------------------------|

| ·   | Deliver capitalization plan resulting in two years of  (operating) cash |
|--------------------|-----------------------------------------------------------------------------------|

| ·   | Cash deal objectives |
|--------------------|----------------------|

| ·   | Share price increase objectives |
|--------------------|---------------------------------|

| ·   | Increase in institutional ownership objectives |
|--------------------|------------------------------------------------|

| ·   | Increase in financial analyst coverage to specified target |
|--------------------|------------------------------------------------------------|

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| ·   | Enrollment and/or Initiation goals for: |
|--------------------|-----------------------------------------|

| o   | ATHENA |
|---------------|--------|

| o   | ADVANCE |
|---------------|---------|

| o   | RECOVER |
|---------------|---------|

| ·   | Cardiovascular therapy strategy and plan for FDA approval |
|--------------------|-----------------------------------------------------------|

| ·   | Investigator initiated study objective |
|--------------------|----------------------------------------|

| ·   | Accelerate revenue growth to specified targets |
|--------------------|------------------------------------------------|

| ·   | Achieve overall gross margin and contribution margin objectives |
|--------------------|-----------------------------------------------------------------|

| ·   | Achieve market access strategic objectives including: |
|--------------------|-------------------------------------------------------|

| o   | Launch specified products |
|---------------|---------------------------|

| o   | Develop new commercial sites in specified therapy areas |
|---------------|---------------------------------------------------------|

| o   | Expansion into new markets |
|---------------|----------------------------|

|  Officer and Position                                        |   | Target Bonus as a % of Salary |   |   | % of Target Bonus Awarded |   |   | Bonus Awarded as a % of Salary |   |   | Amount of 2013 Bonus Paid in 2014 |   |
|-------------------------------------------------------------------|--------|-------------------------------|--------|--------|---------------------------|--------|--------|--------------------------------|--------|--------|-----------------------------------|--------|
|                                                              |   |                          |   |   |                      |   |   |                           |   |   |                              |   |
| Christopher J. Calhoun,Chief Executive Officer                    |   |                          | 50     | %      |                      |   | 35.25  | %                              |   |   | 17.6                              | %      |   | $ | 82,467 |   |
| Marc H. Hedrick,President                                         |   |                          | 40     | %      |                      |   | 54.80  | %                              |   |   | 21.9                              | %      |   | $ | 89,133 |   |
| Mark Saad,Chief Financial Officer                                 |   |                          | 35     | %      |                      |   | 26.13  | %                              |   |   | 9.1                               | %      |   | $ | 35,660 |   |
| Steven KestenExecutive Vice President & Chief Medical Officer |   |                          | 25     | %      |                      |   | 38.88  | %                              |   |   | 9.7                               | %      |   | $ | 38,880 |   |
| Clyde Shores,Executive Vice President Marketing & Sales       |   |                          | 30     | %      |                      |   | 25.13  | %                              |   |   | 7.7                               | %      |   | $ | 25,237 |   |

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| Officer        |   | Stock options at fair market value($2.74) |    |   | Stock options above fair market value ($5.00) |   |
|----------------|--------|-------------------------------------------|---------|--------|-----------------------------------------------|--------|
| Mr. Calhoun    |   |                                      | 250,000 |   |                                          |   | 125,000 |   |
| Dr. Hedrick    |   |                                      | 183,333 |   |                                          |   | 91,667 |   |
| Mr. Saad       |   |                                      | 150,000 |   |                                          |   | 75,000 |   |
| Dr. Kesten (1) |   |                                      | 151,000 |   |                                          |   | - |   |
| Mr. Shores     |   |                                      | 100,000 |   |                                          |   | 50,000 |   |

| (1)   |  Option awards granted to Steven Kesten, were issued during his first year of service and vest over a period of four years with 25% vesting after one year of service, followed with equal monthly installments over the remaining 36 months. |
|-----------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

| 1.   | 40% of the Restricted Stock grant will be conditioned on the Company achieving a major collaboration. |
|----------------|-------------------------------------------------------------------------------------------------------|

| 2.   | 25% of the Restricted Stock grant will be conditioned on the Company obtaining a US FDA approval for, and initiation of, the ATHENA clinical trial for chronic myocardial ischemia. |
|----------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

| 3.   | 15% of the Restricted Stock grant will be conditioned on the Company achieving a CE mark for Celution One in Europe for the no-option chronic myocardial ischemia indication. |
|----------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

| 4.   | 15% of the Restricted Stock grant will be conditioned on the Company obtaining FDA approval of a 510(k) pathway for at least one therapeutic claim. |
|----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------|

| 5.   | 5% of the Restricted Stock grant will be conditioned on the Company achieving its target revenue growth for the calendar year ended December 31, 2012 compared to the year ended December 31, 2011. |
|----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

| Officer             | Title                              | Performance-Vested Restricted Stock |
|---------------------|------------------------------------|-------------------------------------|
| Christopher Calhoun | CEO                                | 29,145                              |
| Marc Hedrick        | President                          | 21,373                              |
| Mark Saad           | CFO                                | 19,430                              |
| Clyde Shores        | Executive VP Marketing & Sales | 18,458                              |

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| (a)                                                                     |   | (b)    |         |   | (c)    |   |                              | (d)             |   |           |                              | (e)              |     |   | (f)                                 |                              |   | (g)                     |   |                             |   | (h)    |          |
|-------------------------------------------------------------------------|--------|--------|--------------|--------|--------|--------|-----------------------------------|-----------------|--------|----------------|-----------------------------------|------------------|----------|--------|-------------------------------------|-----------------------------------|--------|-------------------------|--------|----------------------------------|--------|--------|---------------|
| Name and Principal Position                                             |   | Year   |         |   | Salary |   |                              | Stock Awards(1) |   |           |                              | Option Awards(2) |     |   | Non-Equity Incentive Plan Comp. (3) |                              |   | All Other Comp-ensation |   |                             |   | Total  |          |
|                                                                    |   |   |         |   |   |   |                              |            |   |           |                              |             |     |   |                                |                              |   |                    |   |                             |   |   |          |
| Christopher J. Calhoun,Former Chief Executive Officer (PEO)(11)         |   |   | 201320122011 |   |   | $$$    | 467,900 467,900 456,543 |            |   |  $$       | — 293,260 292,455 |             | (10) (9) |   | $$$                                 | 635,276 483,996 252,855 |   |                    | $$$    | 82,467 109,956 140,370 |   |   |   $ | —— 10,230 |   | (5)(5) (4) |   | $$$ | 1,185,6431,355,112 1,152,453 | (8) (8) |
| Marc H. Hedrick, President and Chief Executive Officer                  |   |   | 201320122011 |   |   | $$$    | 406,627 406,627 396,758 |            |   |  $ $      | — 212,764 214,467 |             | (10) (9) |   | $$$                                 | 465,869 241,998 185,427 |   |                    | $$$    | 89,133 76,446 97,591   |   |   |          | ——— |   | (5) (5) (5) |   | $$$ | 961,629 937,835  894,243 | (8) (8) |
| Mark E. Saad,Chief Financial Officer (PFO)                              |   |   | 201320122011 |   |   | $$$    | 389,917 389,917 380,453 |            |   |  $ $      | — 184,040 194,970 |             | (10) (9) |   | $$$                                 | 381,165 84,173 168,570  |   |                    | $$$    | 35,660 64,141 81,883   |   |   |          | — —— |   | (5)(5) (5) |   | $$ $ | 806,742 722,271 825,876 | (8) (8) |
| Steven Kesten, M.D., Executive Vice President and Chief Medical Officer |   |   | 201320122011 |   |   | $$$    | 333,333——             |            |   |           | — ——       |             |     |   | $                                   | 271,174——             |   |                    | $      | 38,880——             |   |   | $             | 143,401—— |   | (6) |   | $ | 786,788—— |   |
| Clyde W. Shores,Executive Vice President Marketing & Sales          |   |   | 201320122011 |   |   | $$$    | 329,469 329,469 203,870 |            |   |  $   | —178,278—             |             | (10)     |   | $$$                                 | 254,110 84,173269,222        |   |                    | $$$    | 25,237 65,276 37,370   |   |   | $$$           | 35,000 44,400 152,136 |   | (7) (7) (7) |   | $$$ | 643,816 701,596 662,598 |   |

| (1) | This column represents the dollar amount of the aggregate grant date fair value of stock awards, computed in accordance with FASB ASC Topic 718. For information relating to the assumptions made by us in valuing the stock awards made to our named executive officers in 2013, refer to Note 14 to our audited consolidated financial statements included in our annual report on Form 10-K for the year ended December 31, 2013. |
|-----|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

| (2) | This column represents the dollar amount of the aggregate grant date fair value of awards, computed in accordance with FASB ASC Topic 718. For information relating to the assumptions made by us in valuing the option awards made to our named executive officers in 2013, refer to Note 14 to our audited consolidated financial statements included in our annual report on Form 10-K for the year ended December 31, 2013. |
|-----|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

| (3) | The amounts in column (f) reflect the cash awards under our  EMIC Plan, which is discussed in further detail in the CD&A under the heading “2013 NEO Compensation – Executive Management Incentive Compensation Plan.” |
|-----|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

| (4) | All Other Compensation for Mr. Calhoun for 2011 consists of supplemental long-term disability insurance premiums. |
|-----|-------------------------------------------------------------------------------------------------------------------|

| (5) | Dollar value of the Named Executive Officer’s perquisites and other personal benefits was less than $10,000 for the year reported. |   |
|-----|------------------------------------------------------------------------------------------------------------------------------------------|--------|

| (6) | All Other Compensation for Dr. Kesten who was hired 2/26/2013 includes a relocation allowance ($68,401) and a sign-on bonus ($75,000) for 2013. |
|-----|-------------------------------------------------------------------------------------------------------------------------------------------------|

| (7) | All Other Compensation for Mr. Shores who was hired 5/16/2011 includes a relocation allowance ($148,486) and supplemental long-term disability insurance premiums ($3,650) for 2011, a relocation allowance ($44,400) for 2012 and an additional relocation allowance ($35,000) for 2013. |
|-----|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

| (8) | Includes the value of RSA grants that did not vest in the timeframe required by the grants and therefore terminated in their entirety. |
|-----|----------------------------------------------------------------------------------------------------------------------------------------|

| (9) | Performance based RSAs granted on 2/28/2011 with performance vesting requirement.  In 2012, the Compensation Committee determined that none of the performance milestones were achieved, thus none of the shares vested, and the grant therefore terminated in its entirety. |
|-----|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

| (10) | On January 26, 2012, the Compensation Committee granted Restricted Stock Awards as well as Performance based RSAs with performance vesting requirement.  In 2013, the Compensation Committee determined that one of the performance milestones was achieved and authorized to continue vesting the shares allocated to this milestone.  The Compensation Committee used its discretion to continue vesting a portion of the awards allocated to the milestones that were not achieved by December 31, 2012. |
|------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

| (11) | Mr. Calhoun retired as Chief Executive Officer effective April 2, 2014 and has agreed to serve as Managing Director for a transition period beginning April 2, 2014 through July 1, 2014 to facilitate the orderly transfer of responsibilities. |
|------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

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| (a)                                                | (b)       |   | (c)                                                                |    |   | (d)                                                       |   |    | (e)                                                                   |   |   | (f)                                     |   |   | (g)                           |   |   | (h)                                                   |   |
|----------------------------------------------------|-----------|--------|--------------------------------------------------------------------|---------|--------|-----------------------------------------------------------|--------|---------|-----------------------------------------------------------------------|--------|--------|-----------------------------------------|--------|--------|-------------------------------|--------|--------|-------------------------------------------------------|--------|
|                                               |      |   | Estimated Future Payouts Under Non-Equity Incentive Plan Awards(1) |    |   |                                                      |   |    |                                                                  |   |   |                                    |   |   |                          |   |   |                                                  |   |
| Named Officers                                     | Grant     |   | Target                                                             |    |   | All Other Stock Awards: Number of Shares of Stock orUnits |   |    | All Other Option Awards: Number of Securities Underlying Options |   |   | Exercise or Base Price of Option Awards |   |   | Market Price on Date of Grant |   |   | Full Grant Date Fair Value of Stock and Option Awards |   |
|                                               | Date      |   | ($)                                                                |    |   | (#)                                                       |   |    | (#)                                                                   |   |   | ($/Sh)                                  |   |   | ($/Sh)                        |   |   | ($)(1)                                                |   |
|                                               |      |   |                                                               |    |   |                                                      |   |    |                                                                  |   |   |                                    |   |   |                          |   |   |                                                  |   |   |   |
| Christopher J. Calhoun,                            | 1/31/2013 |   | $                                                                  | 233,950 |   |                                                      |   | – |                                                                  |   |   | 250,000                                 |   |   | $                             | 2.74   |   |                                                  | $      | 2.74 |   |   | $ | 448,964 |   |
| Former ChiefExecutive Officer                      | 1/31/2013 |   |                                                               |    |   |                                                      |   | – |                                                                  |   |   | 125,000                                 |   |   | $                             | 5.00   |   |                                                  | $      | 2.74 |   |   | $ | 186,312 |   |
| Marc H. Hedrick,                                   | 1/31/2013 |   | $                                                                  | 162,651 |   |                                                      |   | – |                                                                  |   |   | 183,333                                 |   |   | $                             | 2.74   |   |                                                  | $      | 2.74 |   |   | $ | 329,239 |   |
| President and Chief Executive Officer              | 1/31/2013 |   |                                                               |    |   |                                                      |   | – |                                                                  |   |   | 91,667                                  |   |   | $                             | 5.00   |   |                                                  | $      | 2.74 |   |   | $ | 136,629 |   |
| Mark E. Saad,                                      | 1/31/2013 |   | $                                                                  | 136,471 |   |                                                      |   | – |                                                                  |   |   | 150,000                                 |   |   | $                             | 2.74   |   |                                                  | $      | 2.74 |   |   | $ | 269,378 |   |
| Chief Financial Officer                            | 1/31/2013 |   |                                                               |    |   |                                                      |   | – |                                                                  |   |   | 75,000                                  |   |   | $                             | 5.00   |   |                                                  | $      | 2.74 |   |   | $ | 111,787 |   |
| Steven Kesten, M.D.,                               | 1/31/2013 |   | $                                                                  | 100,000 |   |                                                      |   | – |                                                                  |   |   | 151,000                                 |   |   | $                             | 2.74   |   |                                                  | $      | 2.74 |   |   | $ | 271,174 |   |
| Executive Vice President and Chief Medical Officer |      |   |                                                               |    |   |                                                      |   |    |                                                                  |   |   |                                    |   |   |                          |   |   |                                                  |   |   |   |   |   |   |   |
| Clyde W. Shores,                                   | 1/31/2013 |   | $                                                                  | 98,841  |   |                                                      |   | – |                                                                  |   |   | 100,000                                 |   |   | $                             | 2.74   |   |                                                  | $      | 2.74 |   |   | $ | 179,585 |   |
| Executive Vice President Marketing & Sales     | 1/31/2013 |   |                                                               |    |   |                                                      |   | – |                                                                  |   |   | 50,000                                  |   |   | $                             | 5.00   |   |                                                  | $      | 2.74 |   |   | $ | 74,525 |   |

| (1) | Amounts reported represent the target cash bonus amounts that could have been earned under the EMIC, as described under the heading Compensation Discussion & Analysis - Executive Compensation” above. |
|-----|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

| (2) | Computed in accordance with FASB ASC Topic 718. See note 14 of the financial statements in our Annual Report on Form 10-K, as filed with the SEC on March 14, 2014 regarding assumptions underlying valuation of equity awards. |
|-----|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

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| (a)                                                                                       | (b)                                                                                               |   | (c)                                                             |                                                                    |   | (d)                                                                      |   |                                                                            | (e)                      |   | (f)                     |                                                    | (g)                                                           |                                                                                              |   | (h)                                                              |                                                                                           |
|-------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------|--------|-----------------------------------------------------------------|-------------------------------------------------------------------------|--------|--------------------------------------------------------------------------|--------|---------------------------------------------------------------------------------|--------------------------|--------|-------------------------|---------------------------------------------------------|---------------------------------------------------------------|---------------------------------------------------------------------------------------------------|--------|------------------------------------------------------------------|------------------------------------------------------------------------------------------------|
|                                                                                      |                                                                                              |   |                                                            |                                                                    |   |                                                                     |   |                                                                            |                     |   |                    |                                                    |                                                          |                                                                                              |   |                                                             |                                                                                           |
|                                                                                      | Option Awards                                                                                     |   | Stock Awards                                                    |                                                                    |
| Name                                                                                      | Option Grant Date(1)                                                                              |   | NumberofSecurities Underlying Unexercised Options(#)Exercisable |                                                                    |   | Number of Securities Underlying Unexercised Options(#) Un-Exercisable(2) |   |                                                                            | Option Exercise Price($) |   | Option Ex-piration Date |                                                    | Number of Shares or Units of Stock That Have Not Vested(#)(3) |                                                                                              |   | Market Value of Shares or Units of Stock That Have Not Vested($) |                                                                                           |
|                                                                                      |                                                                                              |   |                                                            |                                                                    |   |                                                                     |   |                                                                            |                     |   |                    |                                                    |                                                          |                                                                                              |   |                                                             |                                                                                           |
| Christopher J. Calhoun,Former Chief Executive Officer       | 6/2/20042/2/20051/24/20062/26/20071/31/20081/29/20092/5/20101/27/20111/26/20121/31/20131/31/2013  |   |                                                            | 75,000100,000100,00070,00085,000100,000143,74854,687110,20857,29228,646 |   |                                                                     |   | —— ————6,25220,313119,792192,70896,354 |                     |   |                    | $4.16$3.12$7.04$5.44$5.14$4.80$6.71$5.57$3.44$2.74$5.00 |                                                          | 6/2/20142/2/20151/24/20162/26/20171/31/20181/29/20192/5/20201/27/20211/26/20221/31/20231/31/2023  |   |                                                             | —————— — —29,145— — |   |   |   | — —— — — — — —$88,651 — — |   |
| Marc H. Hedrick,President and Chief Executive Officer       | 6/2/20042/2/20051/24/20062/26/20071/31/20081/29/20092/5/20101/27/20111/26/20121/31/20131/31/2013  |   |                                                            | 50,00070,00070,00050,00060,00075,000105,41540,10455,10442,01421,007     |   |                                                                     |   | — —————4,58514,89659,896141,31970,660  |                     |   |                    | $4.16$3.12$7.04$5.44$5.14$4.80$6.71$5.57$3.44$2.74$5.00 |                                                          | 6/2/20142/2/20151/24/20162/26/20171/31/20181/29/20192/5/20201/27/20211/26/20221/31/20231/31/2023  |   |                                                             | ———— ————21,373——             |   |   |   | ————————$65,011 —— |   |
| Mark E. Saad,Chief Financial Officer              | 6/21/20042/2/20051/24/20062/26/20071/31/20081/29/20092/5/20101/27/20111/26/20121/31/20131/31/2013 |   |                                                            | 190,00070,00070,00050,00055,00070,00095,83236,45819,16734,37517,188     |   |                                                                     |   | — —————4,16813,54220,883115,62557,812  |                     |   |                    | $4.12$3.12$7.04$5.44$5.14$4.80$6.71$5.57$3.44$2.74$5.00 |                                                          | 6/21/20142/2/20151/24/20162/26/20171/31/20181/29/20192/5/20201/27/20211/26/20221/31/20231/31/2023 |   |                                                             | ————————19,430——                   |   |   |   | ————————$59,101 —— |   |
| Steven Kesten, M.D., Executive Vice President and Chief Medical Officer                   | 1/31/2013                                                                                         |   |                                                            | —                                                                 |   |                                                                     |   | 151,000                                                                         |  (4)                |   |                    | $2.74                                                   |                                                          | 1/31/2023                                                                                         |   |                                                             | —                                                                                        |   |   |   | — |   |
| Clyde W. Shores,Executive Vice President Marketing & Sales                            | 5/19/20111/26/20121/31/20131/31/2013                                                              |   |                                                            | 53,28119,167 34,37538,171                                          |   |                                                                     |   | 29,21920,833115,6253,929                                                        |                     |   |                    | $5.37$3.44$2.74$5.00                                    |                                                          | 5/19/20211/26/20221/31/20231/31/2023                                                              |   |                                                             | —18,458 ——                                                              |   |   |   | —$56,146—— |   |

| (1) | For a better understanding of this table, we have included an additional column showing the grant date of the stock options. |
|-----|------------------------------------------------------------------------------------------------------------------------------|

| (2) | Generally, awards issued under the 1997 or 2004 plans are subject to four-year vesting with 1/48 of the award vesting monthly from date of grant. Each of the awards have a contractual term of 10 years.  |
|-----|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

| (3) | January 26, 2012, Compensation Committee granted Restricted Stock Awards as well as Performance based RSAs with performance vesting requirement.  In 2013, the Compensation Committee determined that a portion of the performance milestones was achieved and authorized to continue vesting a proportionate number of shares allocated to such milestones.  Compensation Committee used its discretion to continue vesting a portion of the awards allocated according to the full or proportional achievement of the milestones by December 31, 2012. |
|-----|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

| (4) | 25% of the granted award vests after one year of service, and the remainder vests monthly in increments of 1/36 for a period of 36 months. |
|-----|--------------------------------------------------------------------------------------------------------------------------------------------|

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Table of Contents

| (a)                                                                     |   | (b)                                      |    |   | (c)                           |   |    | (d)                                        |   |   | (e)                             |   |
|-------------------------------------------------------------------------|--------|------------------------------------------|---------|--------|-------------------------------|--------|---------|--------------------------------------------|--------|--------|---------------------------------|--------|
|                                                                    |   |                                     |    |   |                          |   |    |                                       |   |   |                            |   |
|                                                                    |   | Option Awards                            |    |   | Stock Awards                  |   |
| Name                                                                    |   | Number of Shares Acquired on Exercise(#) |    |   | Value Realized on Exercise($) |   |    | Number of Shares Acquired on Vesting(#)(1) |   |   | Value Realized on Vesting($)(2) |   |
|                                                                    |   |                                     |    |   |                          |   |    |                                       |   |   |                            |   |
|                                                                    |   |                                     |    |   |                          |   |    |                                       |   |   |                            |   |
| Christopher J. Calhoun,Chief Executive Officer                          |   |                                     | — |   |                          |   | — |                                       |   |   | 35,000                          |   |   | $ | 105,000 |   |
| Marc H. Hedrick,President                                               |   |                                     | — |   |                          |   | — |                                       |   |   | 25,000                          |   |   | $ | 75,000 |   |
| Mark E. Saad,Chief Financial Officer                                    |   |                                     | — |   |                          |   | — |                                       |   |   | 20,000                          |   |   | $ | 60,000 |   |
| Steven Kesten, M.D., Executive Vice President and Chief Medical Officer |   |                                     | — |   |                          |   | — |                                       |   |   | —                         |   |   |   | — |   |
| Clyde W. Shores,Executive Vice President Marketing & Sales          |   |                                     | — |   |                          |   | — |                                       |   |   | 20,000                          |   |   | $ | 60,000 |   |

|   | (1)   | Represents time based restricted stock awards that vested on January 10, 2013. |
|--------|-----------------|--------------------------------------------------------------------------------|

|   | (2)   | The fair market value on January 10, 2013 was $3.00. Computed in accordance with FASB ASC Topic 718. See note 14 of the financial statements in our Annual Report on Form 10-K, as filed with the SEC on March 14, 2014 regarding assumptions underlying valuation of equity awards. |
|--------|-----------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

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Table of Contents

|                                            |   | Change in Control(2) |    |   | TerminationFollowing Change in Control(3) |   |
|-------------------------------------------------|--------|----------------------|---------|--------|-------------------------------------------|--------|
| PAYMENTS DUE UPON ACQUISITION / TERMINATION(1): |   |                 |    |   |                                      |   |
| Cash Severance                                  |   |                 |    |   |                                      |   |
| Base Salary(4)                                  |   | $                    | — |   |                                      | $      | 701,850 |   |
|                                            |   |                 |    |   |                                      |   |   |   |
| Benefits                                        |   |                 |    |   |                                      |   |   |   |
| COBRA Premiums                                  |   |                 | — |   |                                      | $      | 33,300 |   |
|                                            |   |                 |    |   |                                      |   |   |   |
| Long-Term Incentives                            |   |                 |    |   |                                      |   |   |   |
| Value of Accelerated Stock Options(5)           |   | $                    | — |   |                                      | $      |   |   |
|                                            |   |                 |    |   |                                      |   |   |   |
| TOTAL VALUE                                     |   | $                    | — |   |                                      | $      | 735,150 |   |

|                                            |   | Change inControl (2) |    |   | Termination Following Change in Control (3) |   |
|-------------------------------------------------|--------|----------------------|---------|--------|---------------------------------------------|--------|
| PAYMENTS DUE UPON ACQUISITION / TERMINATION(1): |   |                 |    |   |                                        |   |
| Cash Severance                                  |   |                 |    |   |                                        |   |
| Base Salary(4)                                  |   | $                    | — |   |                                        | $      | 406,628 |   |
|                                            |   |                 |    |   |                                        |   |   |   |
| Benefits                                        |   |                 |    |   |                                        |   |   |   |
| COBRA Premiums                                  |   |                 | — |   |                                        | $      | 22,200 |   |
|                                            |   |                 |    |   |                                        |   |   |   |
| Long-Term Incentives                            |   |                 |    |   |                                        |   |   |   |
| Value of Accelerated Stock Options(5)           |   | $                    | — |   |                                        | $      | — |   |
|                                            |   |                 |    |   |                                        |   |   |   |
| TOTAL VALUE                                     |   | $                    | — |   |                                        | $      | 428,828 |   |

|                                            |   | Change in Control (2) |    |   | Termination Following Change in Control (3) |   |
|-------------------------------------------------|--------|-----------------------|---------|--------|---------------------------------------------|--------|
| PAYMENTS DUE UPON ACQUISITION / TERMINATION(1): |   |                  |    |   |                                        |   |
| Cash Severance                                  |   |                  |    |   |                                        |   |
| Base Salary(4)                                  |   | $                     | — |   |                                        | $      | 389,917 |   |
|                                            |   |                  |    |   |                                        |   |   |   |
| Benefits                                        |   |                  |    |   |                                        |   |   |   |
| COBRA Premiums                                  |   |                  | — |   |                                        | $      | 22,200 |   |
|                                            |   |                  |    |   |                                        |   |   |   |
| Long-Term Incentives                            |   |                  |    |   |                                        |   |   |   |
| Value of Accelerated Stock Options(5)           |   | $                     | — |   |                                        | $      | — |   |
|                                            |   |                  |    |   |                                        |   |   |   |
| TOTAL VALUE                                     |   | $                     | — |   |                                        | $      | 412,117 |   |

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Table of Contents

|                                            |   | Change in Control (2) |    |   | TerminationFollowing Change in Control (3) |   |
|-------------------------------------------------|--------|-----------------------|---------|--------|--------------------------------------------|--------|
| PAYMENTS DUE UPON ACQUISITION / TERMINATION(1): |   |                  |    |   |                                       |   |
| Cash Severance                                  |   |                  |    |   |                                       |   |
| Base Salary(4)                                  |   | $                     | — |   |                                       | $      | 400,000 |   |
|                                            |   |                  |    |   |                                       |   |   |   |
| Benefits                                        |   |                  |    |   |                                       |   |   |   |
| COBRA Premiums                                  |   |                  | — |   |                                       | $      | 15,400 |   |
|                                            |   |                  |    |   |                                       |   |   |   |
| Long-Term Incentives                            |   |                  |    |   |                                       |   |   |   |
| Value of Accelerated Stock Options(5)           |   | $                     | — |   |                                       | $      | — |   |
|                                            |   |                  |    |   |                                       |   |   |   |
| TOTAL VALUE                                     |   | $                     | — |   |                                       | $      | 415,400 |   |

|                                            |   | Change in Control (2) |    |   | Termination Following Change in Control (3) |   |
|-------------------------------------------------|--------|-----------------------|---------|--------|---------------------------------------------|--------|
| PAYMENTS DUE UPON ACQUISITION / TERMINATION(1): |   |                  |    |   |                                        |   |
| Cash Severance                                  |   |                  |    |   |                                        |   |
| Base Salary(4)                                  |   | $                     | — |   |                                        | $      | 329,469 |   |
|                                            |   |                  |    |   |                                        |   |   |   |
| Benefits                                        |   |                  |    |   |                                        |   |   |   |
| COBRA Premiums                                  |   |                  | — |   |                                        | $      | 22,200 |   |
|                                            |   |                  |    |   |                                        |   |   |   |
| Long-Term Incentives                            |   |                  |    |   |                                        |   |   |   |
| Value of Accelerated Stock Options(5)           |   | $                     | — |   |                                        | $      | — |   |
|                                            |   |                  |    |   |                                        |   |   |   |
| TOTAL VALUE                                     |   | $                     | — |   |                                        | $      | 351,669 |   |

| (1) | Assumes a triggering event occurred on December 31, 2013. |
|-----|-----------------------------------------------------------|

| (2) | Based on the occurrence of a change in control of the Company, provided that the executive is at that time still in the service of the Company. |
|-----|-------------------------------------------------------------------------------------------------------------------------------------------------|

| (3) | Based on the occurrence of either actual or constructive termination without good cause in the context of a change in control of the Company as described in detail in the section above titled, Company Acquisition/Post-Termination Compensation. |
|-----|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

| (4) | Based on the executive’s annual base salary on December 31, 2013, which was $467,900 for Mr. Calhoun; $406,628 for Dr. Hedrick; $389,917 for Mr. Saad, $400,000 for Dr. Kesten and $329,469 for Mr. Shores. |
|-----|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

| (5) | Based on the difference between the aggregate exercise price of all accelerated in-the-money stock options and the aggregate market value of the underlying shares, calculated based on the per-share closing market price of our common stock on December 31, 2013, $2.57. |
|-----|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

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Table of Contents

| (a)                       |   | (b)                               |   |   | (c)                |   |   | (d)                    |   | (e)      |   |   |
|---------------------------|--------|-----------------------------------|--------|--------|--------------------|--------|--------|------------------------|--------|----------|--------|--------|
|                      |   |                              |   |   |               |   |   |                   |   |     |   |   |
| Director Name(1)          |   | Fees Earned or Paid in Cash(2)($) |   |   | Stock Awards(3)($) |   |   | Option Awards(4)(5)($) |   | Total($) |   |   |
|                      |   |                              |   |   |               |   |   |                   |   |     |   |   |
| David M. Rickey, Chairman |   | $                                 | 84,550 |   |               | $      | 17,080 |                   |   | $        | 11,205 |   |   | $ | 112,835 |   |
| Lloyd H. Dean             |   | $                                 | 56,458 |   |               | $      | 17,080 |                   |   | $        | 11,205 |   |   | $ | 84,743 |   |
| Richard J. Hawkins        |   | $                                 | 63,500 |   |               | $      | 17,080 |                   |   | $        | 11,205 |   |   | $ | 91,785 |   |
| Paul W. Hawran            |   | $                                 | 74,825 |   |               | $      | 17,080 |                   |   | $        | 11,205 |   |   | $ | 103,110 |   |
| E. Carmack Holmes, MD     |   | $                                 | 43,000 |   |               | $      | 17,080 |                   |   | $        | 11,205 |   |   | $ | 71,285 |   |
| Gary A. Lyons             |   | $                                 | 10,250 |   |               | $      | 47,565 |                   |   | $        | 31,426 |   |   | $ | 89,241 |   |
| Tommy Thompson            |   | $                                 | 56,000 |   |               | $      | 17,080 |                   |   | $        | 11,205 |   |   | $ | 84,285 |   |

| (1) | Mr. Calhoun and Dr. Hedrick are not included in this table as they are employees of the Company and receive no extra compensation for their services as Director. The compensation received by Mr. Calhoun and Dr. Hedrick as employees of the Company is shown in the 2013 Summary Compensation Table and the three equity-related tables above. |
|-----|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

| (2) | In fiscal year 2013, each non-employee director’s compensation included a $6,250 quarterly retainer, a fee of $2,000 per quarterly meeting attended, and a fee of $1,000 per special Board meeting attended in person.  Attendance of telephonic meetings was compensated at $1,000 per meeting.  Compensation Committee, Governance and Nominating Committee and Audit Committee members received $1,000 per meeting attended.  Executive Committee members were exempt from receiving committee fees.  The Chairman of the Board received an additional annual stipend of $25,000, the Chairman of the Audit Committee received an additional annual stipend of $12,000, and the Chairmen of the Compensation Committee and the Governance and Nominating Committee each received an additional annual stipend of $10,000 and $7,500, respectively. |
|-----|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

| (3) | Each non-employee director was granted 6,100 shares of restricted stock, effective on January 1, 2013 with shares cliff vesting on December 31, 2013. In October 2013, Mr. Gary Lyons received an initial stock award and stock option grant upon joining the Board. |
|-----|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

| (4) | Column (d) represents the grant date fair value of the option awards, computed in accordance with FASB ASC Topic 718. For additional information on the valuation assumptions with respect to the 2013 grants, refer to note 14 of the financial statements in our Annual Report on Form 10-K, as filed with the SEC on March 14, 2014. |
|-----|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|  (5) | As of December 31, 2013, the following directors held options to purchase the respective number of shares of our common stock: Richard J. Hawkins 126,100; Paul W. Hawran 201,100; E. Carmack Holmes 211,100; Gary Lyons 21,000; David M. Rickey 139,225, Lloyd H. Dean 47,100, and Tommy Thompson 42,100. |
|-----------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

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Table of Contents

| Equity Compensation Paid to Directors for Fiscal Year 2013 |                 |
|------------------------------------------------------------|----------------------|
|                                                       |                 |   |   |   |   |   |   |   |   |   |   |   |   |   |   |   |
| (a)                                                        | (b)                  |   | (c) |   |   | (d) |   |   | (e) |   |   | (f) |   |   | (g) |   |
|                                                       |                 |   |   |   |   |   |   |   |   |   |   |   |   |   |   |   |
| Director Name                                         | Grant Date      |   | Option Awards(#) |   |   | Grant Date Fair Value of Option Awards($) |   |   | Stock Awards(#) |   |   | Grant Date Fair Value of Stock Awards($) |   |   | Total Value of Equity Awards for 2013($) |   |
| David M. Rickey, Chairman                                  | 1/1/2013   |   |   | 6,100 |   |   | $ | 11,205 | (1) |   |   | 6,100 |   |   | $ | 17,080 | (2) |   | $ | 28,285 |   |
| Lloyd H. Dean                                              | 1/1/2013   |   |   | 6,100 |   |   | $ | 11,205 | (1) |   |   | 6,100 |   |   | $ | 17,080 | (2) |   | $ | 28,285 |   |
| Richard J. Hawkins                                         | 1/1/2013             |   |   | 6,100 |   |   | $ | 11,205 | (1) |   |   | 6,100 |   |   | $ | 17,080 | (2) |   | $ | 28,285 |   |
| Paul W. Hawran                                             | 1/1/2013             |   |   | 6,100 |   |   | $ | 11,205 | (1) |   |   | 6,100 |   |   | $ | 17,080 | (2) |   | $ | 28,285 |   |
| E. Carmack Holmes, MD                                      | 1/1/2013             |   |   | 6,100 |   |   | $ | 11,205 | (1) |   |   | 6,100 |   |   | $ | 17,080 | (2) |   | $ | 28,285 |   |
| Gary A. Lyons                                              | 10/7/2013            |   |   | 21,000 |   |   | $ | 31,426 | (1) |   |   | 21,000 |   |   | $ | 47,565 | (2) |   | $ | 78,991 |   |
| Tommy Thompson                                             | 1/1/2013             |   |   | 6,100 |   |   | $ | 11,205 | (1) |   |   | 6,100 |   |   | $ | 17,080 | (2) |   | $ | 28,285 |   |

| (1) | The grant date fair value of the option award granted to Directors other than Mr. Lyons was $1.84 per share. The grant date fair value of Mr. Lyons’ option award was $1.50 per share. |
|-----|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

| (2) | The grant date fair value of the restricted stock awarded to Directors other than Mr. Lyons was $2.80 per share.  The grant date fair value of Mr. Lyons’ award was $2.265 per share. |
|-----|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

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Table of Contents

|  Item 12. | Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters |
|----------------|------------------------------------------------------------------------------------------------|

| Name and Address of Beneficial Owner (1)                                                             |   | Number of Shares of Common Stock Owned (2) |      |   | Number of Shares of Common Stock Subject to Options/Warrants Exercisable Within 60 Days (3) |   |      | Total Number of Shares of Common Stock Beneficially Owned (4) |   |   | Percent Ownership |   |
|------------------------------------------------------------------------------------------------------|--------|--------------------------------------------|-----------|--------|---------------------------------------------------------------------------------------------|--------|-----------|---------------------------------------------------------------|--------|--------|-------------------|--------|
|                                                                                                 |   |                                       |      |   |                                                                                        |   |      |                                                          |   |   |              |   |
| Kian Thiam Lim Level 12, 2 Queen StreetMelbourne, Victoria 3000, Australia                           |   |                                       | 8,000,000 |   |                                                                                        |   | -         |                                                          |   |   | 8,000,000         |   |   |   | 10.6 | % |
| BlackRock, Inc.(5)40 East 52nd StreetNew York, NY 10022                                              |   |                                       | 4,241,408 |   |                                                                                        |   | -         |                                                          |   |   | 4,241,408         |   |   |   | 5.6 | % |
| Olympus Corporation Shinjuku Monolith, 3-1 Nishi-Shinjuku 2-Chome, Shinjuku-ku,Tokyo 163-0914, Japan |   |                                       | 4,013,043 |   |                                                                                        |   | -         |                                                          |   |   | 4,013,043         |   |   |   | 5.3 | % |
| Christopher J. Calhoun                                                                               |   |                                       | 154,975   |   |                                                                                        |   | 993,853   |                                                          |   |   | 1,148,828         |   |   |   | 1.5 | % |
| Marc H. Hedrick, MD                                                                                  |   |                                       | 518,711   |   |                                                                                        |   | 724,792   |                                                          |   |   | 1,243,503         |   |   |   | 1.6 | % |
| Mark E. Saad                                                                                         |   |                                       | 138,430   |   |                                                                                        |   | 743,853   |                                                          |   |   | 882,283           |   |   |   | 1.2 | % |
| Steven Kesten, M.D.                                                                                  |   |                                       | -         |   |                                                                                        |   | 50,104    |                                                          |   |   | 50,104            |   |   |   | * |   |
| Clyde W. Shores                                                                                      |   |                                       | 38,458    |   |                                                                                        |   | 134,582   |                                                          |   |   | 173,040           |   |   |   | * |   |
| David M. Rickey                                                                                      |   |                                       | 326,625   |   |                                                                                        |   | 139,864   |                                                          |   |   | 466,489           |   |   |   | * |   |
| Lloyd H. Dean                                                                                        |   |                                       | 77,100    |   |                                                                                        |   | 47,739    |                                                          |   |   | 124,839           |   |   |   | * |   |
| E. Carmack Holmes, MD                                                                                |   |                                       | 43,501    |   |                                                                                        |   | 211,739   |                                                          |   |   | 255,240           |   |   |   | * |   |
| Paul W. Hawran                                                                                       |   |                                       | 87,710    |   |                                                                                        |   | 201,739   |                                                          |   |   | 289,449           |   |   |   | * |   |
| Richard J. Hawkins                                                                                   |   |                                       | 26,185    |   |                                                                                        |   | 126,739   |                                                          |   |   | 152,924           |   |   |   | * |   |
| Gary A. Lyons                                                                                        |   |                                       | -         |   |                                                                                        |   | -         |                                                          |   |   | -                 |   |   |   | * |   |
| Tommy Thompson                                                                                       |   |                                       | 45,150    |   |                                                                                        |   | 42,739    |                                                          |   |   | 87,889            |   |   |   | * |   |
| All executive officers and directors as a group (12)                                                 |   |                                       | 1,477,845 |   |                                                                                        |   | 3,417,743 |                                                          |   |   | 4,895,588         |   |   |   | 6.2 | % |

| * | Represents beneficial ownership of less than one percent (1%) of the outstanding shares as of March 31, 2014. |
|---|---------------------------------------------------------------------------------------------------------------|

| (1) | Unless otherwise indicated, the address of each of the named individuals is c/o Cytori Therapeutics, Inc., 3020 Callan Road, San Diego, CA 92121. |
|-----|---------------------------------------------------------------------------------------------------------------------------------------------------|

| (2) | Unless otherwise indicated, represents shares of outstanding common stock owned by the named parties as of March 31, 2014. |
|-----|----------------------------------------------------------------------------------------------------------------------------|

| (3) | Shares of common stock subject to stock options or warrants currently exercisable or exercisable within 60 days of March 31, 2014 are deemed to be outstanding for computing the percentage ownership of the person holding such options and the percentage ownership of any group of which the holder is a member, but are not deemed outstanding for computing the percentage of any other person. |
|-----|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

| (4) | The amounts and percentages of common stock beneficially owned are reported on the basis of regulations of the Securities and Exchange Commission governing the determination of beneficial ownership of securities. Under the rules of the Commission, a person is deemed to be a “beneficial owner” of a security if that person has or shares “voting power,” which includes the power to vote or to direct the voting of such security, or “investment power,” which includes the power to dispose of or to direct the disposition of such security. A person is also deemed to be a beneficial owner of any securities for which that person has a right to acquire beneficial ownership within 60 days. |
|-----|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

----

Table of Contents

| (5) | Information reported is based on a Schedule 13G/A as filed with the Securities and Exchange Commission on January 28, 2014. According to the Schedule 13G/A, BlackRock, Inc. has (i) sole power to vote or to direct the vote of 4,128,230 shares; and (ii) sole power to dispose or to direct the disposition of 4,241,408 shares. |
|-----|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

| (6) | Information reported is based on a Schedule 13D as filed with the Securities and Exchange Commission on February 28, 2014. According to the Schedule 13D, Kian Thiam Lim. has (i) sole power to vote or to direct the vote of 8,000,000 shares; and (ii) sole power to dispose or to direct the disposition of 8,000,000 shares. |
|-----|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

| Item 13. | Certain Relationships and Related Transactions, and Director Independence |
|----------|---------------------------------------------------------------------------|

----

Table of Contents

| Item 14. | Principal Accounting Fees and Services |
|----------|----------------------------------------|

|                   |   | 2013   |    |   | 2012   |   |
|------------------------|--------|--------|---------|--------|--------|--------|
| Audit fees (1)         |   | $      | 664,596 |   |   | $      | 547,568 |   |
| Audit related fees (2) |   | $      | 6,000   |   |   | $      | 88,800 |   |
| Tax Fees (3)           |   | $      | 87,640  |   |   | $      | 71,524 |   |
| All other fees (4)     |   |   | — |   |   |   | — |   |
| Total                  |   | $      | 758,236 |   |   | $      | 707,892 |   |

| (1) | Audit fees consist of fees for professional services performed by KPMG LLP for the integrated audit of our annual financial statements (and internal control over financial reporting) included in our Form 10-K filing and review of financial statements included in our quarterly Form 10-Q filings, reviews of registration statements and issuances of consents, and services that are normally provided in connection with statutory and regulatory filings or engagements. |
|-----|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

| (2) | Audit related fees consist of fees for assurance and related services, such as comfort letters, performed by KPMG LLP that are reasonably related to the performance of the audit or review of our financial statements. |
|-----|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

| (3) | Tax fees consist of fees for professional services performed by KPMG LLP with respect to tax compliance, tax advice, tax consulting and tax planning. |
|-----|-------------------------------------------------------------------------------------------------------------------------------------------------------|

| (4) | All other fees consist of fees for other permissible work performed by KPMG LLP that does not meet with the above category descriptions.  No such fees were incurred in 2013 or 2012. |
|-----|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

----

Table of Contents

| Item 15. | Exhibits, Financial Statement Schedules |
|----------|-----------------------------------------|

|   | • | Consolidated Balance Sheets as of December 31, 2013 and 2012. |
|--------|---------|---------------------------------------------------------------|

|   | • | Consolidated Statements of Operations and Comprehensive Loss for the fiscal years ended December 31, 2013, 2012 and 2011. |
|--------|---------|---------------------------------------------------------------------------------------------------------------------------|

|   | • | Consolidated Statements of Stockholders’ Equity (Deficit) for the years ended December 31, 2013, 2012 and 2011. |
|--------|---------|-----------------------------------------------------------------------------------------------------------------------|

|   | • | Consolidated Statements of Cash Flows for the fiscal years ended December 31, 2013, 2012 and 2011. |
|--------|---------|----------------------------------------------------------------------------------------------------|

|   | • | Notes to Consolidated Financial Statements. |
|--------|---------|---------------------------------------------|

----

Table of Contents

|   | CYTORI THERAPEUTICS, INC. |
|--------|---------------------------|
|   |                      |   |
|   | By:                       |   |
|   |                      | /s/ Marc H. Hedrick, MD |
|   |                      | Marc H. Hedrick, MD |
|   |                      | President and Chief Executive Officer |
|   |                      | April 29, 2014 |

----

Table of Contents

| CYTORI THERAPEUTICS, INC. |
|---------------------------|
| EXHIBIT INDEX             |

|   ExhibitNumber | Exhibit Title                                                                                                                                                                                                                  |   Filed with thisForm 10-K | Incorporated by Reference |
|----------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------|---------------------------|
| Form                 | File No.                                                                                                                                                                                                                       | Date Filed                      |
| 3.1                  | Composite Certificate of Incorporation.                                                                                                                                                                                        |                            | S-3                       | 333-192409Exhibit 4.1 | 11/19/2013 |
|                 |                                                                                                                                                                                                                           |                            |                      |   |   |
| 3.2                  | Amended and Restated Bylaws of Cytori Therapeutics, Inc.                                                                                                                                                                       |                            | 10-Q                      | 000-32501Exhibit 3.2 | 08/14/2003 |
|                 |                                                                                                                                                                                                                           |                            |                      |   |   |
| 4.2                  | Form of Warrant.                                                                                                                                                                                                               |                            | 8-K                       | 000-32501Exhibit 4.2 | 03/10/2009 |
|                 |                                                                                                                                                                                                                           |                            |                      |   |   |
| 4.3                  | Form of Warrant to be dated February 28, 2007.                                                                                                                                                                                 |                            | 8-K                       | 000-32501Exhibit 10.4 | 02/26/2007 |
|                 |                                                                                                                                                                                                                           |                            |                      |   |   |
| 4.4                  | Form of Warrant to Purchase Common Stock issued on August 11, 2008 pursuant to the Securities Purchase Agreement, dated August 7, 2008, by and among the Company and the Purchasers identified on the signature pages thereto. |                            | 8-K                       | 000-32501Exhibit 10.34 | 08/08/2008 |
|                 |                                                                                                                                                                                                                           |                            |                      |   |   |
| 4.5                  | Registration Rights Agreement, dated August 7, 2008, by and among the Company and the Purchasers identified on the signature pages thereto.                                                                                    |                            | 8-K                       | 000-32501Exhibit 10.35 | 08/08/2008 |
|                 |                                                                                                                                                                                                                           |                            |                      |   |   |
| 4.6                  | Warrant to Purchase Common Stock issued by the Company on October 14, 2008 in favor of GE Capital Equity Investments, Inc., pursuant to the Loan and Security Agreement dated October 14, 2008.                                |                            | 10-K                      | 000-32501Exhibit 10.61 | 03/06/2009 |
|                 |                                                                                                                                                                                                                           |                            |                      |   |   |
| 4.7                  | Warrant to Purchase Common Stock issued by the Company on October 14, 2008 in favor of Silicon Valley Bank, pursuant to the Loan and Security Agreement dated October 14, 2008.                                                |                            | 10-K                      | 000-32501Exhibit 10.62 | 03/06/2009 |
|                 |                                                                                                                                                                                                                           |                            |                      |   |   |
| 4.8                  | Form of Warrant to Purchase Common Stock to be issued on or about May 11, 2009.                                                                                                                                                |                            | 8-K                       | 000-32501Exhibit 10.64 | 05/08/2009 |
|                 |                                                                                                                                                                                                                           |                            |                      |   |   |
| 4.9                  | Registration Rights Agreement, dated May 7, 2009, by and among Cytori Therapeutics, Inc. and the Purchasers identified on the signature pages thereto.                                                                         |                            | 8-K                       | 000-32501Exhibit 10.65 | 05/08/2009 |
|                 |                                                                                                                                                                                                                           |                            |                      |   |   |
| 4.10                 | Warrant to Purchase Common Stock issued by the Company on June 11, 2010 in favor of GE Capital Equity Investments, Inc., pursuant to the Amended and Restated Loan and Security Agreement dated June 11, 2010.                 |                            | 8-K                       | 001-34375Exhibit 10.73 | 06/17/2010 |
|                 |                                                                                                                                                                                                                           |                            |                      |   |   |
| 4.11                 | Warrant to Purchase Common Stock issued by the Company on June 11, 2010 in favor of Silicon Valley Bank, pursuant to the Amended and Restated Loan and Security Agreement dated June 11, 2010.                                 |                            | 8-K                       | 001-34375Exhibit 10.74 | 06/17/2010 |
|                 |                                                                                                                                                                                                                           |                            |                      |   |   |
| 4.12                 | Warrant to Purchase Common Stock issued by the Company on June 11, 2010 in favor of Oxford Financial Corporation, pursuant to the Amended and Restated Loan and Security Agreement dated June 11, 2010.                        |                            | 8-K                       | 001-34375Exhibit 10.75 | 06/17/2010 |
|                 |                                                                                                                                                                                                                           |                            |                      |   |   |
| 4.13                 | Warrant to Purchase Common Stock issued by the Company on September 9, 2011 in favor of GE Capital Equity Investments, Inc., pursuant to the Amended and Restated Loan and Security Agreement dated September 9, 2011.         |                            | 8-K                       | 001-34375Exhibit 10.84 | 09/15/2011 |
|                 |                                                                                                                                                                                                                           |                            |                      |   |   |
| 4.14                 | Warrant to Purchase Common Stock issued by the Company on September 9, 2011 in favor of Silicon Valley Bank, pursuant to the Amended and Restated Loan and Security Agreement dated September 9, 2011.                         |                            | 8-K                       | 001-34375Exhibit 10.85 | 09/15/2011 |

----

Table of Contents

| 4.15     | Warrant to Purchase Common Stock issued by the Company on September 9, 2011 in favor of Oxford Financial Corporation, pursuant to the Amended and Restated Loan and Security Agreement dated September 9, 2011.                                                                                                        |   | 8-K    | 001-34375Exhibit 10.86   | 09/15/2011 |
|----------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------|--------|--------------------------|------------|
|     |                                                                                                                                                                                                                                                                                                                   |   |   |                     |       |
| 4.16     | Warrant to Purchase Common Stock issued by the Company on September 9, 2011 in favor of Oxford Financial Corporation, pursuant to the Amended and Restated Loan and Security Agreement dated September 9, 2011.                                                                                                        |   | 8-K    | 001-34375Exhibit 10.87   | 09/15/2011 |
|     |                                                                                                                                                                                                                                                                                                                   |   |   |                     |       |
| 4.17     | Warrant to Purchase Common Stock issued by the Company on June 28, 2013 in favor of Oxford Finance LLC pursuant to the Loan and Security Agreement dated June 28, 2013.                                                                                                                                                |   | 10-Q   | 001-34375Exhibit 4.17    | 08/09/2013 |
|     |                                                                                                                                                                                                                                                                                                                   |   |   |                     |       |
| 4.18     | Warrant to Purchase Common Stock issued by the Company on June 28, 2013 in favor of Oxford Finance LLC pursuant to the Loan and Security Agreement dated June 28, 2013.                                                                                                                                                |   | 10-Q   | 001-34375Exhibit 4.18    | 08/09/2013 |
|     |                                                                                                                                                                                                                                                                                                                   |   |   |                     |       |
| 4.19     | Warrant to Purchase Common Stock issued by the Company on June 28, 2013 in favor of Oxford Finance LLC pursuant to the Loan and Security Agreement dated June 28, 2013.                                                                                                                                                |   | 10-Q   | 001-34375Exhibit 4.19    | 08/09/2013 |
|     |                                                                                                                                                                                                                                                                                                                   |   |   |                     |       |
| 4.20     | Warrant to Purchase Common Stock issued by the Company on June 28, 2013 in favor of Oxford Finance LLC pursuant to the Loan and Security Agreement dated June 28, 2013.                                                                                                                                                |   | 10-Q   | 001-34375Exhibit 4.20    | 08/09/2013 |
|     |                                                                                                                                                                                                                                                                                                                   |   |   |                     |       |
| 4.21     | Warrant to Purchase Common Stock issued by the Company on June 28, 2013 in favor of Silicon Valley Bank pursuant to the Loan and Security Agreement dated June 28, 2013.                                                                                                                                               |   | 10-Q   | 001-34375Exhibit 4.21    | 08/09/2013 |
|     |                                                                                                                                                                                                                                                                                                                   |   |   |                     |       |
| 4.22     | Stock Purchase Agreement, effective October 29, 2013, by and between the Company and Lorem Vascular, Pty. Ltd.                                                                                                                                                                                                         |   | S-3    | 333-192409               | 11-19-2013 |
|     |                                                                                                                                                                                                                                                                                                                   |   |   |                     |       |
| 10.1#    | Amended and Restated 1997 Stock Option and Stock Purchase Plan.                                                                                                                                                                                                                                                        |   | 10     | 000-32501Exhibit 10.1    | 03/30/2001 |
|     |                                                                                                                                                                                                                                                                                                                   |   |   |                     |       |
| 10.1.1#  | Board of Directors resolution adopted November 9, 2006 regarding determination of fair market value for stock option grant purposes (incorporated by reference to Exhibit 10.10.1 filed as Exhibit 10.10.1 to our Form 10-K Annual Report, as filed on March 30, 2007 and incorporated by reference  herein) |   | 10-K   | 000-32501Exhibit 10.10.1 | 03/30/2007 |
|     |                                                                                                                                                                                                                                                                                                                   |   |   |                     |       |
| 10.10#   | 2004 Equity Incentive Plan of Cytori Therapeutics, Inc                                                                                                                                                                                                                                                                 |   | 8-K    | 000-32501Exhibit 10.1    | 08/27/2004 |
|     |                                                                                                                                                                                                                                                                                                                   |   |   |                     |       |
| 10.10.1# | Board of Directors resolution adopted November 9, 2006 regarding determination of fair market value for stock option grant purposes.                                                                                                                                                                                   |   | 10-K   | 000-32501Exhibit 10.10.1 | 03/30/2007 |
|     |                                                                                                                                                                                                                                                                                                                   |   |   |                     |       |
| 10.12#   | Notice and Agreement for Stock Options Grant Pursuant to Cytori Therapeutics, Inc. 1997 Stock Option and Stock Purchase Plan; (Nonstatutory).                                                                                                                                                                          |   | 10-Q   | 000-32501Exhibit 10.19   | 11/15/2004 |
|     |                                                                                                                                                                                                                                                                                                                   |   |   |                     |       |
| 10.13#   | Notice and Agreement for Stock Options Grant Pursuant to Cytori Therapeutics, Inc. 1997 Stock Option and Stock Purchase Plan; (Nonstatutory) with Cliff.                                                                                                                                                               |   | 10-Q   | 000-32501Exhibit 10.20   | 11/15/2004 |
|     |                                                                                                                                                                                                                                                                                                                   |   |   |                     |       |
| 10.14#   | Notice and Agreement for Stock Options Grant Pursuant to Cytori Therapeutics, Inc. 1997 Stock Option and Stock Purchase Plan; (Incentive).                                                                                                                                                                             |   | 10-Q   | 000-32501Exhibit 10.21   | 11/15/2004 |
|     |                                                                                                                                                                                                                                                                                                                   |   |   |                     |       |
| 10.15#   | Notice and Agreement for Stock Options Grant Pursuant to Cytori Therapeutics, Inc. 1997 Stock Option and Stock Purchase Plan; (Incentive) with Cliff.                                                                                                                                                                  |   | 10-Q   | 000-32501Exhibit 10.22   | 11/15/2004 |
|     |                                                                                                                                                                                                                                                                                                                   |   |   |                     |       |
| 10.16#   | Form of Options Exercise and Stock Purchase Agreement Relating to the 2004 Equity Incentive Plan.                                                                                                                                                                                                                      |   | 10-Q   | 000-32501Exhibit 10.23   | 11/15/2004 |

----

Table of Contents

| 10.17#  | Form of Notice of Stock Options Grant Relating to the 2004 Equity Incentive Plan.                                                                                                 |   | 10-Q   | 000-32501Exhibit 10.24   | 11/15/2004 |
|---------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------|--------|--------------------------|------------|
|    |                                                                                                                                                                              |   |   |                     |       |
| 10.22   | Common Stock Purchase Agreement dated April 28, 2005, between Olympus Corporation and the Company.                                                                                |   | 10-Q   | 000-32501Exhibit 10.21   | 08/15/2005 |
|    |                                                                                                                                                                              |   |   |                     |       |
| 10.23   | Sublease Agreement dated May 24, 2005, between Biogen Idec, Inc. and the Company.                                                                                                 |   | 10-Q   | 000-32501Exhibit 10.21   | 08/15/2005 |
|    |                                                                                                                                                                              |   |   |                     |       |
| 10.27+  | Joint Venture Agreement dated November 4, 2005, between Olympus Corporation and the Company.                                                                                      |   | 10-K   | 000-32501Exhibit 10.27   | 03/30/2006 |
|    |                                                                                                                                                                              |   |   |                     |       |
| 10.28+  | License/ Commercial Agreement dated November 4, 2005, between Olympus-Cytori, Inc. and the Company                                                                                |   | 10-K   | 000-32501Exhibit 10.28   | 03/30/2006 |
|    |                                                                                                                                                                              |   |   |                     |       |
| 10.28.1 | Amendment One to License/ Commercial Agreement dated November 14, 2007, between Olympus-Cytori, Inc. and the Company.                                                             |   | 10-K   | 000-32501Exhibit 10.28.1 | 03/14/2008 |
|    |                                                                                                                                                                              |   |   |                     |       |
| 10.29+  | License/ Joint Development Agreement dated November 4, 2005, between Olympus Corporation, Olympus-Cytori, Inc. and the Company.                                                   |   | 10-K   | 000-32501Exhibit 10.29   | 03/30/2006 |
|    |                                                                                                                                                                              |   |   |                     |       |
| 10.29.1 | Amendment No. 1 to License/ Joint Development Agreement dated May 20, 2008, between Olympus Corporation, Olympus-Cytori, Inc. and the Company.                                    |   | 10-Q   | 000-32501Exhibit 10.29.1 | 08/11/2008 |
|    |                                                                                                                                                                              |   |   |                     |       |
| 10.30+  | Shareholders Agreement dated November 4, 2005, between Olympus Corporation and the Company.                                                                                       |   | 10-K   | 000-32501Exhibit 10.30   | 03/30/2006 |
|    |                                                                                                                                                                              |   |   |                     |       |
| 10.32   | Common Stock Purchase Agreement, dated August 9, 2006, by and between Cytori Therapeutics, Inc. and Olympus Corporation.                                                          |   | 8-K    | 000-32501Exhibit 10.32   | 08/15/2006 |
|    |                                                                                                                                                                              |   |   |                     |       |
| 10.33   | Form of Common Stock Subscription Agreement, dated August 9, 2006 (Agreements on this form were signed by Cytori and each of respective investors in the Institutional Offering). |   | 8-K    | 000-32501Exhibit 10.33   | 08/15/2006 |
|    |                                                                                                                                                                              |   |   |                     |       |
| 10.43   | Financial services advisory engagement letter agreement, dated February 16, 2007, between Cytori Therapeutics, Inc. and WBB Securities, LLC.                                      |   | 8-K    | 000-32501Exhibit 10.2    | 02/26/2007 |
|    |                                                                                                                                                                              |   |   |                     |       |
| 10.46   | Common Stock Purchase Agreement, dated March 28, 2007, by and between Cytori Therapeutics, Inc. and Green Hospital Supply, Inc.                                                   |   | 10-Q   | 000-32501Exhibit 10.46   | 05/11/2007 |
|    |                                                                                                                                                                              |   |   |                     |       |
| 10.47   | Consulting Agreement, dated May 3, 2007, by and between Cytori Therapeutics, Inc. and Marshall G. Cox.                                                                            |   | 10-Q   | 000-32501Exhibit 10.47   | 08/14/2007 |
|    |                                                                                                                                                                              |   |   |                     |       |
| 10.48+  | Master Cell Banking and Cryopreservation Agreement, effective August 13, 2007, by and between Green Hospital Supply, Inc. and Cytori Therapeutics, Inc.                      |   | 10-Q   | 000-32501Exhibit 10.48   | 11/13/2007 |
|    |                                                                                                                                                                              |   |   |                     |       |
| 10.48.1 | Amendment No. 1 to Master Cell Banking and Cryopreservation Agreement, effective June 4, 2008, by and between Green Hospital Supply, Inc. and the Company.                        |   | 8-K    | 000-32501Exhibit 10.48.1 | 06/10/2008 |
|    |                                                                                                                                                                              |   |   |                     |       |
| 10.49+  | License & Royalty Agreement, effective August 23, 2007, by and between Olympus-Cytori, Inc. and Cytori Therapeutics, Inc.                                                |   | 10-Q   | 000-32501Exhibit 10.49   | 11/13/2007 |
|    |                                                                                                                                                                              |   |   |                     |       |
| 10.51   | Common Stock Purchase Agreement, dated February 8, 2008, by and between Green Hospital Supply, Inc. and Cytori Therapeutics, Inc.                                            |   | 8-K    | 000-32501Exhibit 10.51   | 02/19/2008 |
|    |                                                                                                                                                                              |   |   |                     |       |
| 10.51.1 | Amendment No. 1 to Common Stock Purchase Agreement, dated February 29, 2008, by and between Green Hospital Supply, Inc. and Cytori Therapeutics, Inc.                             |   | 8-K    | 000-32501Exhibit 10.51.1 | 02/29/2008 |
|    |                                                                                                                                                                              |   |   |                     |       |
| 10.52#  | Agreement for Acceleration and/or Severance, dated January 31, 2008, by and between Christopher J. Calhoun and Cytori Therapeutics, Inc.                                     |   | 10-K   | 000-32501Exhibit 10.52   | 03/14/2008 |

----

Table of Contents

| 10.53#  | Agreement for Acceleration and/or Severance, dated January 31, 2008, by and between Marc H. Hedrick and Cytori Therapeutics, Inc.                                                                           |   | 10-K   | 000-32501Exhibit 10.53   | 03/14/2008 |
|---------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------|--------|--------------------------|------------|
|    |                                                                                                                                                                                                             |   |   |                     |       |
| 10.54#  | Agreement for Acceleration and/or Severance, dated January 31, 2008, by and between Mark E. Saad and Cytori Therapeutics, Inc.                                                                              |   | 10-K   | 000-32501Exhibit 10.54   | 03/14/2008 |
|    |                                                                                                                                                                                                             |   |   |                     |       |
| 10.55   | Common Stock Purchase Agreement, dated August 7, 2008, by and between the Company and Olympus Corporation.                                                                                                       |   | 8-K    | 000-32501Exhibit 10.32   | 08/08/2008 |
|    |                                                                                                                                                                                                             |   |   |                     |       |
| 10.55.1 | Amendment No. 1 to Common Stock Purchase Agreement, dated August 8, 2008, by and between the Company and Olympus Corporation.                                                                                    |   | 8-K    | 000-32501Exhibit 10.32.1 | 08/14/2008 |
|    |                                                                                                                                                                                                             |   |   |                     |       |
| 10.56   | Securities Purchase Agreement, dated August 7, 2008, by and among the Company and the Purchasers identified on the signature pages thereto.                                                                      |   | 8-K    | 000-32501Exhibit 10.33   | 08/08/2008 |
|    |                                                                                                                                                                                                             |   |   |                     |       |
| 10.59   | Loan and Security Agreement, dated October 14, 2008, by and among the Company, General Electric Capital Corporation, and the other lenders signatory thereto.                                                    |   | 10-K   | 000-32501Exhibit 10.59   | 03/06/2009 |
|    |                                                                                                                                                                                                             |   |   |                     |       |
| 10.60   | Promissory Note issued by the Company in favor of General Electric Capital Corporation or any subsequent holder thereof, pursuant to the Loan and Security Agreement dated October 14, 2008.                     |   | 10-K   | 000-32501Exhibit 10.60   | 03/06/2009 |
|    |                                                                                                                                                                                                             |   |   |                     |       |
| 10.63   | Form of Subscription Agreement by and between Cytori Therapeutics, Inc. and the Purchaser (as defined therein), dated as of March 9, 2009.                                                                       |   | 8-K    | 000-32501Exhibit 10.63   | 03/10/2009 |
|    |                                                                                                                                                                                                             |   |   |                     |       |
| 10.64   | Placement Agency Agreement, dated March 9, 2009, between Cytori Therapeutics, Inc. and Piper Jaffray & Co.                                                                                                   |   | 8-K    | 000-32501Exhibit 10.64   | 03/10/2009 |
|    |                                                                                                                                                                                                             |   |   |                     |       |
| 10.65   | Securities Purchase Agreement, dated May 7, 2009, by and among Cytori Therapeutics, Inc. and the Purchasers identified on the signature pages thereto.                                                           |   | 8-K    | 000-32501Exhibit 10.63   | 05/08/2009 |
|    |                                                                                                                                                                                                             |   |   |                     |       |
| 10.68   | Form of Common Stock Purchase Agreement by and between Cytori Therapeutics, Inc. and Seaside 88, LP, dated as of June 19, 2009.                                                                                  |   | 8-K    | 001-34375Exhibit 10.68   | 06/22/2009 |
|    |                                                                                                                                                                                                             |   |   |                     |       |
| 10.69   | Lease Agreement entered into on April 2, 2010, between HCP Callan Rd, LLC. and Cytori Therapeutics, Inc..                                                                                                        |   | 10-Q   | 001-34375Exhibit 10.69   | 05/06/2010 |
|    |                                                                                                                                                                                                             |   |   |                     |       |
| 10.70   | Amended and Restated Loan and Security Agreement, dated June 11, 2010, by and among the Company, General Electric Capital Corporation, and the other lenders signatory thereto.                                  |   | 8-K    | 001-34375Exhibit 10.70   | 06/17/2010 |
|    |                                                                                                                                                                                                             |   |   |                     |       |
| 10.71   | Promissory Note issued by the Company in favor of General Electric Capital Corporation or any subsequent holder thereof, pursuant to the Loan and Security Agreement dated June 11, 2010.                        |   | 8-K    | 001-34375Exhibit 10.71   | 06/17/2010 |
|    |                                                                                                                                                                                                             |   |   |                     |       |
| 10.72   | Promissory Note issued by the Company in favor of Oxford Financial Corporation or any subsequent holder thereof, pursuant to the Loan and Security Agreement dated June 11, 2010.                                |   | 8-K    | 001-34375Exhibit 10.72   | 06/17/2010 |
|    |                                                                                                                                                                                                             |   |   |                     |       |
| 10.76   | Common Stock Purchase Agreement, dated December 6, 2010, by and among Cytori Therapeutics, Inc. and Astellas Pharma Inc.                                                                                         |   | 8-K    | 001-34375Exhibit 10.76   | 12/09/2010 |
|    |                                                                                                                                                                                                             |   |   |                     |       |
| 10.77   | Form of Notice and Restricted Stock Award Agreement for grants of performance-based restricted stock awards under the 2004 Equity Incentive Plan.                                                                |   | 8-K    | 001-34375Exhibit 10.1    | 03/04/2011 |
|    |                                                                                                                                                                                                             |   |   |                     |       |
| 10.78   | Form of Common Stock Purchase Agreement by and between Cytori Therapeutics, Inc. and Seaside 88, LP, dated July 11, 2011                                                                                         |   | 8-K    | 001-34375Exhibit 10.78   | 07/12/2011 |
|    |                                                                                                                                                                                                             |   |   |                     |       |
| 10.79   | First Amendment to Amended and Restated Loan and Security Agreement, dated June 23, 2011, by and among the Company, Oxford Finance LLC, the other lenders party hereto and General Electric Capital Corporation. |   | 10-Q   | 001-34375Exhibit 10.79   | 08/09/2011 |

----

Table of Contents

| 10.80                    | Second Amendment to the Amended and Restated Loan and Security Agreement, dated September 9, 2011, by and among the Company, General Electric Capital Corporation, and the other lenders signatory thereto.                                                                               |   | 8-K     | 001-34375Exhibit 10.80 | 09/15/2011 |
|--------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------|---------|------------------------|------------|
|                     |                                                                                                                                                                                                                                                                                      |   |    |                   |       |
| 10.81                    | Promissory Note issued by the Company in favor of General Electric Capital Corporation or any subsequent holder thereof, pursuant to the Loan and Security Agreement dated September 9, 2011.                                                                                             |   | 8-K     | 001-34375Exhibit 10.81 | 09/15/2011 |
|                     |                                                                                                                                                                                                                                                                                      |   |    |                   |       |
| 10.82                    | Promissory Note issued by the Company in favor of Silicon Valley Bank or any subsequent holder thereof, pursuant to the Loan and Security Agreement dated September 9, 2011.                                                                                                              |   | 8-K     | 001-34375Exhibit 10.82 | 09/15/2011 |
|                     |                                                                                                                                                                                                                                                                                      |   |    |                   |       |
| 10.83                    | Promissory Note issued by the Company in favor of Oxford Financial Corporation or any subsequent holder thereof, pursuant to the Loan and Security Agreement dated September 9, 2011.                                                                                                     |   | 8-K     | 001-34375Exhibit 10.83 | 09/15/2011 |
|                     |                                                                                                                                                                                                                                                                                      |   |    |                   |       |
| 10.88                    | First Amendment to Lease Agreement entered into on November 4, 2011, between HCP Callan Rd, LLC. and the Company.                                                                                                                                                                         |   | 10-Q    | 001-34375Exhibit 10.88 | 11/08/2011 |
|                     |                                                                                                                                                                                                                                                                                      |   |    |                   |       |
| 10.89#                   | 2011 Employee Stock Purchase Plan                                                                                                                                                                                                                                                         |   | DEF 14A | 001-34375Appendix A    | 05/02/2011 |
|                     |                                                                                                                                                                                                                                                                                      |   |    |                   |       |
| 10.90+                   | Contract HHSO100201200008C dated September 27, 2012, by and between the Company and the U.S. Department of Health and Human Services Biomedical Advanced Research and Development Authority (portions of the exhibit have been omitted pursuant to a request for confidential treatment). |   | 8-K     | 001-34375Exhibit 10.90 | 10/03/2012 |
|                     |                                                                                                                                                                                                                                                                                      |   |    |                   |       |
| 10.91                    | Joint Venture Termination Agreement dated May 8, 2013 by and between the Company and Olympus Corporation.                                                                                                                                                                                 |   | 10-Q    | 001-34375Exhibit 10.91 | 05/10/2013 |
|                     |                                                                                                                                                                                                                                                                                      |   |    |                   |       |
| 10.92                    | Loan and Security Agreement, dated June 28, 2013, by and among the Company, Oxford Finance LLC and Silicon Valley Bank.                                                                                                                                                                   |   | 10-Q    | 001-34375Exhibit 10.92 | 08/09/2013 |
|                     |                                                                                                                                                                                                                                                                                      |   |    |                   |       |
| 10.93+                   | Puregraft Sale-License-Supply Agreement, dated July 30, 2013, by and among the Company and Bimini Technologies LLC.                                                                                                                                                                       |   | 10-Q/A  | 001-34375Exhibit 10.93 | 11/12/2013 |
|                     |                                                                                                                                                                                                                                                                                      |   |    |                   |       |
| 10.94+                   | Amended and Restated License and Supply Agreement dated January 30, 2014, by and between the Company and Lorem Vascular Pty. Ltd.                                                                                                                                                         |   | 8-K     | 001-34375              | 02/04/2014 |
|                     |                                                                                                                                                                                                                                                                                      |   |    |                   |       |
| 14.1                     | Code of Ethics.                                                                                                                                                                                                                                                                           |   | 10-K    | 000-32501Exhibit 14.1  | 03/30/2004 |
|                     |                                                                                                                                                                                                                                                                                      |   |    |                   |       |
| 23.1                     | Consent of KPMG LLP, Independent Registered Public Accounting Firm                                                                                                                                                                                                                        |   | 10-K    | 001-34375Exhibit 23.1  | 03/14/2014 |
|                     |                                                                                                                                                                                                                                                                                      |   |    |                   |       |
| 31.1                     | Certification of Principal Executive Officer Pursuant to Securities Exchange Act Rule 13a-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002                                                                                                                     | X      |    |                   |       |
|                     |                                                                                                                                                                                                                                                                                      |   |    |                   |       |
| 31.2                     | Certification of Principal Financial Officer Pursuant to Securities Exchange Act Rule 13a-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002                                                                                                                     | X      |    |                   |       |
|                     |                                                                                                                                                                                                                                                                                      |   |    |                   |       |
| 32.1 †† | Certifications Pursuant to 18 U.S.C. Section 1350/ Securities Exchange Act Rule 13a-14(b), as adopted pursuant to Section 906 of the Sarbanes - Oxley Act of 2002                                                                                                                         |   |    |                   |       |
|                     |                                                                                                                                                                                                                                                                                      |   |    |                   |       |
| 101.INS                  | XBRL Instance Document                                                                                                                                                                                                                                                                    |   | 10-K    | 001-34375Exhibit 101   | 03/14/2014 |

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Table of Contents

| 101.SCH | XBRL Schema Document                |   | 10-K   | 001-34375Exhibit 101 | 03/14/2014 |
|---------|-------------------------------------|--------|--------|----------------------|------------|
|    |                                |   |   |                 |       |
| 101.CAL | XBRL Calculation Linkbase Document  |   | 10-K   | 001-34375Exhibit 101 | 03/14/2014 |
|    |                                |   |   |                 |       |
| 101.DEF | XBRL Definition Linkbase Document   |   | 10-K   | 001-34375Exhibit 101 | 03/14/2014 |
|    |                                |   |   |                 |       |
| 101.LAB | XBRL Label Linkbase Document        |   | 10-K   | 001-34375Exhibit 101 | 03/14/2014 |
|    |                                |   |   |                 |       |
| 101.PRE | XBRL Presentation Linkbase Document |   | 10-K   | 001-34375Exhibit 101 | 03/14/2014 |

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|   | + | Confidential treatment has been granted with respect to certain portions of this exhibit. |
|--------|---|-------------------------------------------------------------------------------------------|

|   | # | Indicates management contract or compensatory plan or arrangement. |
|--------|---|--------------------------------------------------------------------|

|   | †† | Indicates documents previously furnished with our Annual Report on Form 10-K for the fiscal year ended December 31, 2013, originally filed with the SEC on March 14, 2014, which is being amended hereby. |
|--------|----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

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