Scott M. Pittman - Dec 31, 2020 Form 5 Insider Report for Nuo Therapeutics, Inc. (AURX)

Role
Director, 10%+ Owner
Signature
/s/ David E. Jorden, attorney-in-fact
Stock symbol
AURX
Transactions as of
Dec 31, 2020
Transactions value $
$163,018
Form type
5
Date filed
4/26/2022, 09:23 PM
Previous filing
Apr 26, 2022
Next filing
Apr 26, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AURX Common Stock Award $120K +300K +10.22% $0.40* 3.24M Oct 5, 2020 Direct F1, F2
transaction AURX Common Stock Award $33K +82.5K +2.55% $0.40* 3.32M Oct 5, 2020 Direct F1, F3
transaction AURX Common Stock Award $10K +25K +0.75% $0.40* 3.34M Oct 5, 2020 Direct F1, F4

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction AURX Warrants to purchase Common Stock Award $0 +323K $0.00 323K Oct 5, 2020 Common Stock 323K $0.40 Direct F1, F5, F6
transaction AURX Warrants to purchase Common Stock Disposed to Issuer $0 -45K -100% $0.00* 0 Oct 5, 2020 Common Stock 45K $0.40 Direct F1, F6, F7, F8
transaction AURX Warrants to purchase Common Stock Award $0 +900K $0.00 900K Oct 5, 2020 Common Stock 900K $0.40 Direct F1, F9
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Transaction approved by Board of Directors of Issuer and Non-Employee Directors
F2 Compensation shares acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020
F3 Conversion shares acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020
F4 Purchase shares acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020
F5 Acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020
F6 The reported transactions involved a recapitalization resulting in the deemed cancellation of the "old" warrants and the deemed grant of "replacement" warrants.
F7 Cancelled in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020
F8 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 30,000 shares
F9 Compensation warrants acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020