Charles E. Sheedy - Dec 31, 2021 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, 2021
Transactions value $
$286,323
Form type
5
Date filed
4/26/2022, 09:28 PM
Previous filing
Apr 26, 2022
Next filing
May 2, 2022

Transactions Table

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 Dec 1, 2021 Common Stock 1.43M $0.20 Direct F2, F3
transaction AURX Warrants to purchase Common Stock Other $0 -1.43M -100% $0.00* 0 Dec 1, 2021 Common Stock 1.43M $0.40 Direct F3, F4
transaction AURX Warrants to purchase Common Stock Exercise of in-the-money or at-the-money derivative security $0 -1.43M -100% $0.00* 0 Dec 30, 2021 Common Stock 1.43M $0.20 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein.
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 cancelled 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