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

Role
Director, 10%+ Owner
Signature
/s/ David E. Jorden, attorney-in-fact
Issuer symbol
AURX
Transactions as of
31 Dec 2020
Transactions value $
$163,018
Form type
5
Filing time
26 Apr 2022, 21:23:56 UTC
Previous filing
26 Apr 2022
Next filing
26 Apr 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AURX Common Stock Award $120,000 +300,000 +10% $0.4 3,235,800 05 Oct 2020 Direct F1, F2
transaction AURX Common Stock Award $33,018 +82,545 +2.6% $0.4 3,318,345 05 Oct 2020 Direct F1, F3
transaction AURX Common Stock Award $10,000 +25,000 +0.75% $0.4 3,343,345 05 Oct 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 +322,635 $0 322,635 05 Oct 2020 Common Stock 322,635 $0.4 Direct F1, F5, F6
transaction AURX Warrants to purchase Common Stock Disposed to Issuer $0 -45,000 -100% $0* 0 05 Oct 2020 Common Stock 45,000 $0.4 Direct F1, F6, F7, F8
transaction AURX Warrants to purchase Common Stock Award $0 +900,000 $0 900,000 05 Oct 2020 Common Stock 900,000 $0.4 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