SEC Form 4 · accession 0001437749-26-022664
Nuo Therapeutics, Inc. · AURX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott M. Pittman
Director · 10% Owner
Period of report
Jun 29, 2026
Accepted (ET)
Jul 2, 2026 · 9:00 pm EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0001091596
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jun 30, 2026 | M | 40,000 | $1.00 | A | 5,440,000 | D | |
| Common Stock | Jun 30, 2026 | F | 39,604 | $1.01 | D | 5,400,396 | D |
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 stockF2 | $1.00 | Jun 30, 2026 | M | 40,000 | D | Jan 1, 2017 | Jun 30, 2026 | Common Stock | 40,000 | 0 | D |
| Option to purchase common stockF3 | $1.01 | Jun 29, 2026 | A | 30,000 | A | Jun 30, 2027 | Jun 29, 2036 | Common Stock | 30,000 | 30,000 | D |
Explanation of responses
- F1Represents a net exercise of outstanding stock options. The reporting person received 396 shares of common stock on the net exercise of option to purchase 40,000 shares of common stock. The issuer withheld 39,604 shares of common stock underlying the option for payment of the exercise price using the closing price of $1.01.
- F215,000 options exercisable on 07/01/2016 and 25,000 options exercisable on 01/01/2017.
- F3The options fully vest as of June 30, 2027.