JORDEN DAVID EMERSON 5

5 · Nuo Therapeutics, Inc. · Filed Apr 26, 2022

Form 5

Period: 2020-12-31

Director10% Owner

Transactions

Award
Common Stock
2020-10-05$0.40/sh+300,000$120,000→ 857,146 total
Award
Common Stock
2020-10-05$0.40/sh+50,000$20,000→ 989,691 total
Disposition to Issuer
Warrants to purchase Common Stock
2020-10-05−45,000→ 0 total
Exercise: $0.40→ Common Stock (45,000 underlying)
Award
Warrants to purchase Common Stock
2020-10-05+900,000→ 900,000 total
Exercise: $0.40From: 2020-10-05Exp: 2025-10-05→ Common Stock (900,000 underlying)
Award
Common Stock
2020-10-05$0.40/sh+82,545$33,018→ 939,691 total
Award
Warrants to purchase Common Stock
2020-10-05+397,635→ 397,635 total
Exercise: $0.40From: 2020-10-05Exp: 2025-10-05→ Common Stock (397,635 underlying)

Footnotes (9)

[F1]Transaction approved by Board of Directors of Issuer and Non-Employee Directors
[F2]Compensation shares acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020
[F3]Conversion shares acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020
[F4]Purchase shares acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020
[F5]Acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020
[F6]The reported transactions involved a recapitalization resulting in the deemed cancellation of the "old" warrants and the deemed grant of "replacement" warrants.
[F7]Cancelled in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020
[F8]Originally exercisable on 11/15/19 and 12/06/19, with expirations of 11/15/24 and 12/06/24, respectively, for 15,000 shares and 30,000 shares
[F9]Compensation warrants acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020

Documents

1 file