PETER CLAUSEN - 06 Jun 2022 Form 4 Insider Report for Nuo Therapeutics, Inc. (AURX)

Role: CSO/COO
Signature: /s/ David E. Jorden, attorney-in-fact
Issuer symbol: AURX
Transactions as of: 06 Jun 2022
Net transactions value: $0
Form type: 4
Filing time: 15 Jun 2022, 18:18:32 UTC
Previous filing: 02 May 2022
Next filing: 03 Aug 2023
SEC: View on sec.gov

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	Option to Purchase Common Stock	Award	$0	+275,000		$0.000000	275,000	06 Jun 2022	Common Stock	275,000	$0.7500	Direct	F1, F2

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	The grant of these options was approved by the issuer's Board of Directors on March 4, 2022, subject to stockholder approval of an amendment to increase the number of shares available for issuance under the issuer's 2016 Omnibus Incentive Compensation Plan pursuant to which the options were granted. Stockholder approval was obtained by means of a written consent and the issuer filed a related Information Statement on Schedule 14C with the SEC on April 27, 2022. The stockholder approval became effective on June 6, 2022.
F2	One-third exercisable immediately on 03/04/2022 and the remainder exercisable quarterly over three years.

Content

The grant of these options was approved by the issuer's Board of Directors on March 4, 2022, subject to stockholder approval of an amendment to increase the number of shares available for issuance under the issuer's 2016 Omnibus Incentive Compensation Plan pursuant to which the options were granted. Stockholder approval was obtained by means of a written consent and the issuer filed a related Information Statement on Schedule 14C with the SEC on April 27, 2022. The stockholder approval became effective on June 6, 2022.

One-third exercisable immediately on 03/04/2022 and the remainder exercisable quarterly over three years.