SEC Form 4 · accession 0001144204-17-001878
Nuo Therapeutics, Inc. · AURX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
C Eric Winzer
Director
Period of report
Jan 9, 2017
Accepted (ET)
Jan 11, 2017 · 8:17 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001091596
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to purchase Common StockF1,F2 | $1.00 | Jan 9, 2017 | A | 40,000 | A | — | Jul 1, 2026 | Common Stock | 40,000 | 40,000 | D |
Explanation of responses
- F1The grant of these options was approved by the issuer's board of directors on July 1, 2016, subject to stockholder approval of the 2016 Omnibus Incentive Compensation Plan under 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 November 25, 2016. The stockholder approval became effective on January 9, 2017.
- F2Of these options, 15,000 vested immediately, and 25,000 vested on 1/1/17.