Nuo Therapeutics, Inc. 4
4 · Nuo Therapeutics, Inc. · Filed Jul 29, 2016
Insider Transaction Report
Form 4
DEL GUERCIO JOSEPH
Director
Transactions
- Other
Common Stock, par value $0.0001 per share
2016-05-05+27,301→ 277,301 total(indirect: See Footnote) - Purchase
Common Stock, par value $0.0001 per share
2016-05-05$1.00/sh+250,000$250,000→ 250,000 total(indirect: See Footnote)
Footnotes (3)
- [F1]The 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").
- [F2]Under 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.
- [F3]All 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.