SHEEDY CHARLES E 5

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

Form 5

Period: 2020-12-31

10% Owner

Transactions

Purchase
Common Stock
2020-10-05$0.40/sh+175,000$70,000→ 8,763,517 total
Other
Warrants to purchase Common Stock
2020-10-05+1,431,615→ 1,431,615 total
Exercise: $0.40From: 2020-10-05Exp: 2025-10-05→ Common Stock (1,431,615 underlying)
Other
Common Stock
2020-10-05$0.40/sh+302,205$120,882→ 8,588,517 total
Other
Warrants to purchase Common Stock
2020-10-05−165,000→ 0 total
Exercise: $0.40→ Common Stock (165,000 underlying)

Holdings

Footnotes (7)

[F1]Conversion shares acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020
[F2]Purchase shares acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020
[F3]The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein.
[F4]Acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020
[F5]The reported transactions involved a recapitalization resulting in the deemed cancellation of the "old" warrants and the deemed grant of "replacement" warrants.
[F6]Cancelled in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020
[F7]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 150,000 shares

Documents

1 file