Pittman Scott M. 5

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

Form 5

Period: 2021-12-31

Director10% Owner

Transactions

Disposition to Issuer
Warrants to purchase Common Stock
2021-12-01−322,635→ 0 total
Exercise: $0.40From: 2020-10-05Exp: 2025-10-05→ Common Stock (322,635 underlying)
Exercise/Conversion
Warrants to purchase Common Stock
2021-12-30−900,000→ 0 total
Exercise: $0.20From: 2021-12-01Exp: 2022-01-31→ Common Stock (900,000 underlying)
Exercise/Conversion
Common Stock
2021-12-30$0.20/sh+900,000$180,000→ 4,243,345 total
Award
Warrants to purchase Common Stock
2021-12-01+1,222,635→ 1,222,635 total
Exercise: $0.20From: 2021-12-01Exp: 2022-01-31→ Common Stock (1,222,635 underlying)
Disposition to Issuer
Warrants to purchase Common Stock
2021-12-01−900,000→ 0 total
Exercise: $0.40From: 2020-10-05Exp: 2025-10-05→ Common Stock (900,000 underlying)
Other
Warrants to purchase Common Stock
2021-12-06−322,635→ 900,000 total
Exercise: $0.40From: 2021-12-01Exp: 2022-01-31→ Common Stock (322,635 underlying)

Footnotes (5)

[F1]Transaction approved by Board of Directors of Issuer and Non-Employee Directors
[F2]Acquired in accordance with Warrant Modification Agreement dated as of 12/01/21
[F3]The reported transactions relate to an amendment of the exercise price of outstanding warrants contingent upon the Reporting Person exercising the warrants. As a result, the outstanding warrants were deemed canceled and modified warrants were issued for the same number of shares of Common Stock, but with a reduced exercise price.
[F4]Cancelled in accordance with Warrant Modification Agreement dated as of 12/01/21
[F5]Transferred to third party for no consideration

Documents

1 file