Charles E. Sheedy - Dec 31, 2020 Form 5 Insider Report for Nuo Therapeutics, Inc. (AURX)

Role
10%+ Owner
Signature
/s/ Charles E. Sheedy
Stock symbol
AURX
Transactions as of
Dec 31, 2020
Transactions value $
$190,882
Form type
5
Date filed
4/26/2022, 09:24 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 Other $121K +302K +3.65% $0.40* 8.59M Oct 5, 2020 Direct F1
transaction AURX Common Stock Purchase $70K +175K +2.04% $0.40* 8.76M Oct 5, 2020 Direct F2
holding AURX Common Stock 3.37K Dec 31, 2020 Shares held in separate trusts for the benefit of children of the Reporting Person (673 shares in ea F3

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 Other $0 +1.43M $0.00 1.43M Oct 5, 2020 Common Stock 1.43M $0.40 Direct F4, F5
transaction AURX Warrants to purchase Common Stock Other $0 -165K -100% $0.00* 0 Oct 5, 2020 Common Stock 165K $0.40 Direct F5, F6, F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Conversion shares acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020
F2 Purchase shares acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020
F3 The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein.
F4 Acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020
F5 The reported transactions involved a recapitalization resulting in the deemed cancellation of the "old" warrants and the deemed grant of "replacement" warrants.
F6 Cancelled in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020
F7 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