Scott M. Pittman - 31 Dec 2021 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 2021
Transactions value $
$180,000
Form type
5
Filing time
26 Apr 2022, 21:26:58 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 Options Exercise $180,000 +900,000 +26.9% $0.2000 4,243,345 30 Dec 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 +1,222,635 $0.000000 1,222,635 01 Dec 2021 Common Stock 1,222,635 $0.2000 Direct F1, F2, F3
transaction AURX Warrants to purchase Common Stock Disposed to Issuer $0 -900,000 -100% $0.000000* 0 01 Dec 2021 Common Stock 900,000 $0.4000 Direct F1, F3, F4
transaction AURX Warrants to purchase Common Stock Disposed to Issuer $0 -322,635 -100% $0.000000* 0 01 Dec 2021 Common Stock 322,635 $0.4000 Direct F1, F3, F4
transaction AURX Warrants to purchase Common Stock Other $0 -322,635 -26.4% $0.000000 900,000 06 Dec 2021 Common Stock 322,635 $0.4000 Direct F5
transaction AURX Warrants to purchase Common Stock Options Exercise $0 -900,000 -100% $0.000000* 0 30 Dec 2021 Common Stock 900,000 $0.2000 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