Nutex Health Inc S-3, filed Mar 28, 2023

Nutex Health Inc. (NUTX)

S-3 2023-03-28

View Original

Added on October 23, 2026

Search and read filings like this one from Claude or ChatGPT with the SEC filings MCP server →

	Large accelerated filer ☒			Accelerated filer ☐
	Non-accelerated filer ☐			Smaller reporting company ☐
				Emerging growth company ☐

	ABOUT THIS PROSPECTUS					1
	RISK FACTORS					2
	CAUTIONARY NOTE REGARDING FORWARD-LOOKING STATEMENTS					3
	OUR COMPANY					5
	USE OF PROCEEDS					6
	DESCRIPTION OF SECURITIES					7
	DESCRIPTION OF CAPITAL STOCK					8
	DESCRIPTION OF OUR DEBT SECURITIES					11
	DESCRIPTION OF OUR WARRANTS					21
	DESCRIPTION OF OUR RIGHTS					25
	PLAN OF DISTRIBUTION					26
	LEGAL MATTERS					29
	EXPERTS					29
	WHERE YOU CAN FIND MORE INFORMATION					30
	INCORPORATION OF CERTAIN DOCUMENTS BY REFERENCE					31
	PART II INFORMATION NOT REQUIRED IN PROSPECTUS					32
	SIGNATURES					36
	SIGNATURES AND POWER OF ATTORNEY					37

SEC registration fee	$	33,060
Legal fees and expenses	$	*
Accounting fees and expenses	$	*
Miscellaneous	$	*
Total	$	*

	Exhibit No.			Description
	1.1*			Form of Underwriting Agreement
	3.1			Amended and Restated Articles of Incorporation (Incorporated by reference from Exhibit 3.1 to the registrant’s Form 10-Q filed on August 22, 2022)
	3.2			Second Amended and Restated Bylaws (Incorporated by reference from Exhibit 3.2 to the registrant’s Form 8-K filed on April 4, 2022)
	4.1*			Form of Common Stock Warrant Agreement and Warrant Certificate
	4.2*			Form of Debt Securities Warrant Agreement and Warrant Certificate
	4.3+			Form of Senior Indenture between the Registrant and one or more trustees to be named
	4.4+			Form of Subordinated Debt Indenture between the Registrant and one or more trustees to be named
	4.5*			Form of Senior Note
	4.6*			Form of Subordinated Note
	4.7*			Form of Rights Agreement and Rights Certificate
	5.1+			Opinion of Locke Lord LLP as to legality
	23.1+			Consent of Marcum LLP
	23.2+			Consent of Locke Lord LLP (included in Exhibit 5.1)
	24.1+			Power of Attorney (included in the signature pages to this Registration Statement).
	25.1**			Form T-1 Statement of Eligibility of Trustee
	107+			Filing Fee Table

	Signature			Title
	/s/ Thomas T. Vo, M.D. Thomas T. Vo, M.D.			Chief Executive Officer and Chairman of the Board (principal executive officer)
	/s/ Jon C. Bates Jon C. Bates			Chief Financial Officer (principal financial officer and principal accounting officer)
	/s/ Warren Hosseinion Warren Hosseinion			President and Director
	/s/ Matthew S. Young, M.D. Matthew S. Young, M.D.			Director
	/s/ John Waters, CPA John Waters, CPA			Director
	/s/ Cheryl Grenas, R.N., M.S.N. Cheryl Grenas, R.N., M.S.N.			Director
	/s/ Michael L. Reed Michael L. Reed			Director
	/s/ Mitchell Creem Mitchell Creem			Director

Trust Indenture Act Section	Indenture Section
Section 3.10(a)(1)	6.09
(a)(2)	6.09
(a)(3)	Not Applicable
(a)(4)	Not Applicable
(b)	6.08
Section 3.11(a)	6.13
(b)	6.13
Section 3.12(a)	7.01, 7.02
(b)	7.02
(c)	7.02
Section 3.13(a)	7.03
(b)	7.03
(c)	7.03
(d)	7.03
Section 3.14(a)	7.04
(a)(4)	1.01
(b)	Not Applicable
(c)(1)	1.02
(c)(2)	1.02
(c)(3)	Not Applicable
(d)	Not Applicable
(e)	1.02
Section 3.15(a)	6.01
(b)	6.02
(c)	6.01
(d)	6.01
(e)	5.13
Section 3.16(a)	1.01
(a)(1)(A)	5.02, 5.11
(a)(1)(B)	5.12
(a)(2)	Not Applicable
(b)	Not Applicable
(c)	1.04
Section 3.17(a)(1)	5.03
(a)(2)	5.04
(b)	10.03
Section 3.18(a)	1.07

Article I DEFINITIONS AND OTHER PROVISIONS OF GENERAL APPLICATION		1

Section 1.01	Definitions	1
Section 1.02	Compliance Certificates and Opinions	6
Section 1.03	Form of Documents Delivered to Trustee	6
Section 1.04	Acts of Holders; Record Dates	7
Section 1.05	Notices, Etc., to Trustee and Company	8
Section 1.06	Notice to Holders; Waiver	9
Section 1.07	Conflict with Trust Indenture Act	9
Section 1.08	Effect of Headings and Table of Contents	9
Section 1.09	Successors and Assigns	9
Section 1.10	Separability Clause	9
Section 1.11	Benefits of Indenture	9
Section 1.12	Governing Law	9
Section 1.13	Legal Holidays	9
Section 1.14	No Adverse Interpretation of Other Agreements	10
Section 1.15	No Personal Liability of Directors, Officers, Employees and Stockholders	10
Section 1.16	Language of Notices, Etc	10
Section 1.17	Force Majeure	10
Section 1.18	Waiver of Jury Trial	10
Section 1.19	U.S.A	10

Article II SECURITY FORMS		10

Section 2.01	Forms Generally	10
Section 2.02	Form of Face of Security	10
Section 2.03	Form of Reverse of Security	12
Section 2.04	Form of Trustee’s Certificate of Authentication	14

Article III THE SECURITIES		15

Section 3.01	Amount Unlimited; Issuable in Series	15
Section 3.02	Denominations	17
Section 3.03	Execution, Authentication, Delivery and Dating	17
Section 3.04	Temporary Securities	18
Section 3.05	Registration, Registration of Transfer and Exchange	18
Section 3.06	Mutilated, Destroyed, Lost and Wrongfully Taken Securities	20
Section 3.07	Payment of Interest; Interest Rights Preserved	20
Section 3.08	Persons Deemed Owners	22
Section 3.09	Cancellation	22
Section 3.10	Computation of Interest	22
Section 3.11	CUSIP Numbers	22

Article IV SATISFACTION AND DISCHARGE		22

Section 4.01	Satisfaction and Discharge of Indenture	22
Section 4.02	Application of Trust Money	23

Article V REMEDIES		23

Section 5.01	Events of Default	23
Section 5.02	Acceleration of Maturity; Rescission and Annulment	24
Section 5.03	Collection of Indebtedness and Suits for Enforcement by Trustee	25
Section 5.04	Trustee May File Proofs of Claim	25
Section 5.05	Trustee May Enforce Claims Without Possession of Securities	26

Section 5.06	Application of Money Collected	26
Section 5.07	Limitation on Suits	26
Section 5.08	Restoration of Rights and Remedies	27
Section 5.09	Rights and Remedies Cumulative	27
Section 5.10	Delay or Omission Not Waiver	27
Section 5.11	Control by Holders	27
Section 5.12	Waiver of Past Defaults	27
Section 5.13	Undertaking for Costs	28
Section 5.14	Waiver of Usury, Stay or Extension Laws	28

Article VI THE TRUSTEE		28

Section 6.01	Certain Duties and Responsibilities	28
Section 6.02	Notice of Defaults	29
Section 6.03	Certain Rights of Trustee	29
Section 6.04	Not Responsible for Recitals or Issuance of Securities	30
Section 6.05	May Hold Securities	30
Section 6.06	Money Held in Trust	30
Section 6.07	Compensation and Reimbursement	30
Section 6.08	Conflicting Interests	31
Section 6.09	Corporate Trustee Required; Eligibility	31
Section 6.10	Resignation and Removal; Appointment of Successor	31
Section 6.11	Acceptance of Appointment by Successor	32
Section 6.12	Merger, Conversion, Consolidation or Succession to Business	33
Section 6.13	Preferential Collection of Claims Against Company	33
Section 6.14	Appointment of Authenticating Agent	33

Article VII HOLDERS’ LISTS AND REPORTS BY TRUSTEE AND COMPANY		34

Section 7.01	Company to Furnish Trustee Names and Addresses of Holders	34
Section 7.02	Preservation of Information; Communications to Holders	34
Section 7.03	Reports by Trustee	35
Section 7.04	Reports by Company	35

Article VIII CONSOLIDATION, MERGER, CONVEYANCE, TRANSFER OR LEASE		35

Section 8.01	Company May Consolidate, Etc., Only on Certain Terms	35
Section 8.02	Successor Substituted	36

Article IX SUPPLEMENTAL INDENTURES		36

Section 9.01	Supplemental Indentures Without Consent of Holders	36
Section 9.02	Supplemental Indentures With Consent of Holders	37
Section 9.03	Execution of Supplemental Indentures	38
Section 9.04	Effect of Supplemental Indentures	38
Section 9.05	Conformity with Trust Indenture Act	38
Section 9.06	Reference in Securities to Supplemental Indentures	38

Article X COVENANTS		38

Section 10.01	Payment of Principal, Premium and Interest	38
Section 10.02	Maintenance of Office or Agency	39
Section 10.03	Money for Securities Payments to Be Held in Trust	39
Section 10.04	Corporate Existence	40
Section 10.05	Statement by Officers as to Default	40
Section 10.06	Waiver of Certain Covenants	40

Article XI REDEMPTION OF SECURITIES		40

Section 11.01	Applicability of Article	40
Section 11.02	Election to Redeem; Notice to Trustee	40
Section 11.03	Selection by Trustee of Securities to Be Redeemed	41
Section 11.04	Notice of Redemption	41
Section 11.05	Deposit of Redemption Price	42
Section 11.06	Securities Payable on Redemption Date	42
Section 11.07	Securities Redeemed in Part	42

Article XII DEFEASANCE AND COVENANT DEFEASANCE		42

Section 12.01	Company’s Option to Effect Defeasance or Covenant Defeasance	42
Section 12.02	Defeasance and Discharge	43
Section 12.03	Covenant Defeasance	43
Section 12.04	Conditions to Defeasance or Covenant Defeasance	43
Section 12.05	Deposited Money and U.S. Government Obligations to Be Held in Trust; Miscellaneous Provisions	44
Section 12.06	Reinstatement	45

Article XIII [RESERVED]		45

Section 13.01	Reserved	45

Article XIV SECURITY		45

Section 14.01	Security	45

[TRUSTEE],
AS TRUSTEE

By:
As Authenticating Agent

By:
Authorized Signatory

	NUTEX HEALTH INC.

	By:
	Name:
	Title:

	[TRUSTEE],

	AS TRUSTEE

	By:
	Name:
	Title:

Article I DEFINITIONS AND OTHER PROVISIONS OF GENERAL APPLICATION		1
Section 1.01	Definitions	1
Section 1.02	Compliance Certificates and Opinions	7
Section 1.03	Form of Documents Delivered to Trustee	7
Section 1.04	Acts of Holders; Record Dates	7
Section 1.05	Notices, Etc., to Trustee and Company	9
Section 1.06	Notice to Holders; Waiver	9
Section 1.07	Conflict with Trust Indenture Act	10
Section 1.08	Effect of Headings and Table of Contents	10
Section 1.09	Successors and Assigns	10
Section 1.10	Separability Clause	10
Section 1.11	Benefits of Indenture	10
Section 1.12	Governing Law	10
Section 1.13	Legal Holidays	10
Section 1.14	No Adverse Interpretation of Other Agreements	10
Section 1.15	No Personal Liability of Directors, Officers, Employees and Stockholders	10
Section 1.16	Language of Notices, Etc	10
Section 1.17	Force Majeure	10
Section 1.18	Waiver of Jury Trial	11
Section 1.19	U.S.A	11
Article II SECURITY FORMS		11
Section 2.01	Forms Generally	11
Section 2.02	Form of Face of Security	11
Section 2.03	Form of Reverse of Security	12
Section 2.04	Form of Legend for Global Securities	15
Section 2.05	Form of Trustee’s Certificate of Authentication	15
Article III THE SECURITIES		15
Section 3.01	Amount Unlimited; Issuable in Series	15
Section 3.02	Denominations	18
Section 3.03	Execution, Authentication, Delivery and Dating	18
Section 3.04	Temporary Securities	19
Section 3.05	Registration, Registration of Transfer and Exchange	19
Section 3.06	Mutilated, Destroyed, Lost and Wrongfully Taken Securities	21
Section 3.07	Payment of Interest; Interest Rights Preserved	21
Section 3.08	Persons Deemed Owners	22
Section 3.09	Cancellation	22
Section 3.10	Computation of Interest	23
Section 3.11	CUSIP Numbers	23
Article IV SATISFACTION AND DISCHARGE		23
Section 4.01	Satisfaction and Discharge of Indenture	23
Section 4.02	Application of Trust Money	24

Article V REMEDIES		24
Section 5.01	Events of Default	24
Section 5.02	Acceleration of Maturity; Rescission and Annulment	24
Section 5.03	Collection of Indebtedness and Suits for Enforcement by Trustee	26
Section 5.04	Trustee May File Proofs of Claim	26
Section 5.05	Trustee May Enforce Claims Without Possession of Securities	26
Section 5.06	Application of Money Collected	27
Section 5.07	Limitation on Suits	27
Section 5.08	Restoration of Rights and Remedies	27
Section 5.09	Rights and Remedies Cumulative	27
Section 5.10	Delay or Omission Not Waiver	28
Section 5.11	Control by Holders	28
Section 5.12	Waiver of Past Defaults	28
Section 5.13	Undertaking for Costs	28
Section 5.14	Waiver of Usury, Stay or Extension Laws	28
Article VI THE TRUSTEE		29
Section 6.01	Certain Duties and Responsibilities	29
Section 6.02	Notice of Defaults	29
Section 6.03	Certain Rights of Trustee	30
Section 6.04	Not Responsible for Recitals or Issuance of Securities	30
Section 6.05	May Hold Securities	31
Section 6.06	Money Held in Trust	31
Section 6.07	Compensation and Reimbursement	31
Section 6.08	Conflicting Interests	31
Section 6.09	Corporate Trustee Required; Eligibility	32
Section 6.10	Resignation and Removal; Appointment of Successor	32
Section 6.11	Acceptance of Appointment by Successor	33
Section 6.12	Merger, Conversion, Consolidation or Succession to Business	33
Section 6.13	Preferential Collection of Claims Against Company	34
Section 6.14	Appointment of Authenticating Agent	34
Article VII HOLDERS’ LISTS AND REPORTS BY TRUSTEE AND COMPANY		35
Section 7.01	Company to Furnish Trustee Names and Addresses of Holders	35
Section 7.02	Preservation of Information; Communications to Holders	35
Section 7.03	Reports by Trustee	35
Section 7.04	Reports by Company	36
Article VIII CONSOLIDATION, MERGER, CONVEYANCE, TRANSFER OR LEASE		36
Section 8.01	Company May Consolidate, Etc., Only on Certain Terms	36
Section 8.02	Successor Substituted	36
Article IX SUPPLEMENTAL INDENTURES		36
Section 9.01	Supplemental Indentures Without Consent of Holders	36
Section 9.02	Supplemental Indentures With Consent of Holders	38
Section 9.03	Execution of Supplemental Indentures	39
Section 9.04	Effect of Supplemental Indentures	39
Section 9.05	Conformity with Trust Indenture Act	39
Section 9.06	Reference in Securities to Supplemental Indentures	39
Section 9.07	Subordination Unimpaired	39
Article X COVENANTS		39
Section 10.01	Payment of Principal, Premium and Interest	39
Section 10.02	Maintenance of Office or Agency	39
Section 10.03	Money for Securities Payments to Be Held in Trust	40
Section 10.04	Corporate Existence	40
Section 10.05	Statement by Officers as to Default	41
Section 10.06	Waiver of Certain Covenants	41

Article XI REDEMPTION OF SECURITIES		41
Section 11.01	Applicability of Article	41
Section 11.02	Election to Redeem; Notice to Trustee	41
Section 11.03	Selection by Trustee of Securities to Be Redeemed	41
Section 11.04	Notice of Redemption	42
Section 11.05	Deposit of Redemption Price	42
Section 11.06	Securities Payable on Redemption Date	43
Section 11.07	Securities Redeemed in Part	43
Article XII DEFEASANCE AND COVENANT DEFEASANCE		43
Section 12.01	Company’s Option to Effect Defeasance or Covenant Defeasance	43
Section 12.02	Defeasance and Discharge	43
Section 12.03	Covenant Defeasance	44
Section 12.04	Conditions to Defeasance or Covenant Defeasance	44
Section 12.05	Deposited Money and U.S. Government Obligations to Be Held in Trust; Miscellaneous Provisions	45
Section 12.06	Reinstatement	45
Article XIII [RESERVED]		46
Section 13.01	Reserved	46
Article XIV SUBORDINATION OF SECURITIES		46
Section 14.01	Securities Subordinate to Senior Debt	46
Section 14.02	Payment Over of Proceeds Upon Dissolution, Etc	46
Section 14.03	Prior Payment to Senior Debt Upon Acceleration of Securities	47
Section 14.04	No Payment When Senior Debt in Default	47
Section 14.05	Payment Permitted in Certain Situations	48
Section 14.06	Subrogation to Rights of Holders of Senior Debt	48
Section 14.07	Provisions Solely to Define Relative Rights	48
Section 14.08	Trustee to Effectuate Subordination	48
Section 14.09	No Waiver of Subordination Provisions	49
Section 14.10	Notice to Trustee	49
Section 14.11	Reliance on Judicial Order or Certificate of Liquidating Agent	49
Section 14.12	Trustee Not Fiduciary For Holders of Senior Debt	49
Section 14.13	Rights of Trustee as Holder of Senior Debt; Preservation of Trustees Rights	50
Section 14.14	Article Applicable to Paying Agents	50
Article XV SECURITY		50
Section 15.01	Security	50