Scott M. Pittman - Dec 31, 2021 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, 2021
Transactions value $
$180,000
Form type
5
Date filed
4/26/2022, 09:26 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 Options Exercise $180K +900K +26.92% $0.20* 4.24M Dec 30, 2021 Direct

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 +1.22M $0.00 1.22M Dec 1, 2021 Common Stock 1.22M $0.20 Direct F1, F2, F3
transaction AURX Warrants to purchase Common Stock Disposed to Issuer $0 -900K -100% $0.00* 0 Dec 1, 2021 Common Stock 900K $0.40 Direct F1, F3, F4
transaction AURX Warrants to purchase Common Stock Disposed to Issuer $0 -323K -100% $0.00* 0 Dec 1, 2021 Common Stock 323K $0.40 Direct F1, F3, F4
transaction AURX Warrants to purchase Common Stock Other $0 -323K -26.39% $0.00 900K Dec 6, 2021 Common Stock 323K $0.40 Direct F5
transaction AURX Warrants to purchase Common Stock Options Exercise $0 -900K -100% $0.00* 0 Dec 30, 2021 Common Stock 900K $0.20 Direct F3
* 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 Acquired in accordance with Warrant Modification Agreement dated as of 12/01/21
F3 The reported transactions relate to an amendment of the exercise price of outstanding warrants contingent upon the Reporting Person exercising the warrants. As a result, the outstanding warrants were deemed canceled and modified warrants were issued for the same number of shares of Common Stock, but with a reduced exercise price.
F4 Cancelled in accordance with Warrant Modification Agreement dated as of 12/01/21
F5 Transferred to third party for no consideration