SEC Form 4 · accession 0001144204-16-115382
Nuo Therapeutics, Inc. · AURX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph Del Guercio
Director
Period of report
May 5, 2016
Accepted (ET)
Jul 29, 2016 · 5:26 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001091596
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.0001 per shareF3 | May 5, 2016 | P | 250,000 | $1.00 | A | 250,000 | I | See Footnote |
| Common Stock, par value $0.0001 per shareF2,F3 | May 5, 2016 | J | 27,301 | — | A | 277,301 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares of Common Stock, par value $0.0001 per share (the "New Shares"), of Nuo Therapeutics, Inc. (the "Issuer") were issued pursuant to the Issuer's plan of reorganization (the "Plan of Reorganization") in exchange for equity interests of the Issuer held by the Reporting Person on the record date under the Plan of Reorganization (the "Old Common Stock").
- F2Under the Plan of Reorganization, the Reporting Person received one New Share for every 41.8934 shares of Old Common Stock held by the Reporting Person on the record date.
- F3All shares were acquired and are owned directly by CNF Investments II, LLC ("CNF"). The managers (collectively, the "CNF Managers") of CNF are Joseph Del Guercio and Robert J. Flanagan. CNF and the CNF Managers may be deemed to share voting and dispositive power over the shares directly held by CNF. Mr. Del Guercio disclaims beneficial ownership of such securities and this report is not an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein.