SEC Form 4 · accession 0001144204-16-115387
Nuo Therapeutics, Inc. · AURX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott M. Pittman
Director
Period of report
May 5, 2016
Accepted (ET)
Jul 29, 2016 · 5:29 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 share | May 5, 2016 | P | 300,000 | $1.00 | A | 300,000 | D | |
| Common Stock, par value $0.0001 per shareF3 | May 5, 2016 | P | 525,000 | $1.00 | A | 825,000 | D | |
| Common Stock, par value $0.0001 per shareF2 | May 5, 2016 | J | 34,128 | — | A | 859,128 | D | |
| Common Stock, par value $0.0001 per shareF2,F3 | May 5, 2016 | J | 21,483 | — | A | 880,611 | D | |
| Common Stock, par value $0.0001 per shareF2,F4 | May 5, 2016 | J | 189 | — | A | 880,800 | D |
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.
- F3Shares held in IRA.
- F4Shares held in Roth IRA.