Filing Details
- Accession Number:
- 0001437749-22-009782
- Form Type:
- 5
- Zero Holdings:
- No
- Publication Time:
- 2022-04-26 21:24:57
- Reporting Period:
- 2020-12-31
- Accepted Time:
- 2022-04-26 21:24:57
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1091596 | Nuo Therapeutics Inc. | AURX | () | 5 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1005483 | E Charles Sheedy | 2907 Two Houston Center Houstion TX 77010 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2020-10-05 | 302,205 | $0.40 | 8,588,517 | No | 4 | J | Direct | |
| Common Stock | Acquisiton | 2020-10-05 | 175,000 | $0.40 | 8,763,517 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | J | Direct | |
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrants to purchase Common Stock | Acquisiton | 2020-10-05 | 1,431,615 | $0.00 | 1,431,615 | $0.40 |
| Common Stock | Warrants to purchase Common Stock | Disposition | 2020-10-05 | 165,000 | $0.00 | 165,000 | $0.40 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1,431,615 | 2020-10-05 | 2025-10-05 | No | 4 | J | Direct |
| 0 | No | 4 | J | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 3,365 | Indirect | Shares held in separate trusts for the benefit of children of the Reporting Person (673 shares in ea |
Footnotes
- Conversion shares acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020
- Purchase shares acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020
- The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein.
- Acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020
- The reported transactions involved a recapitalization resulting in the deemed cancellation of the "old" warrants and the deemed grant of "replacement" warrants.
- Cancelled in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020
- Originally exercisable on 11/15/19 and 12/06/19, with expirations of 11/15/24 and 12/06/24, respectively, for 15,000 shares and 150,000 shares
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