JORDEN DAVID EMERSON 4

4 · Nuo Therapeutics, Inc. · Filed Jul 2, 2026

AI-generated summary of this filing

Updated Jul 3, 2026

Nuo Therapeutics (AURX) CEO Jorden Emerson Exercises Options

What Happened

Jorden David Emerson (CEO/CFO and Director) exercised 162,500 options on June 30, 2026 at $1.00 per share (gross exercise cost $162,500). To cover the exercise price/taxes the company withheld 160,892 shares (valued at $1.01 each, $162,501), so the reporting person received 1,608 shares on the net exercise. Separately, on June 29, 2026 Emerson was granted 125,000 derivative securities (option award) at $0.00 per share (no cash paid at grant).
This was a net/cashless exercise (shares withheld to satisfy exercise price/taxes), not an open-market sale.

Key Details

Transaction dates & prices:
- 2026-06-30: Exercised 162,500 options at $1.00 (gross $162,500).
- 2026-06-30: 160,892 shares withheld @ $1.01 to cover exercise/taxes (value reported $162,501).
- 2026-06-29: Grant of 125,000 derivative securities (award) at $0.00.
Net result of the exercise: reporting person received 1,608 shares after withholding (per footnote F1).
Footnotes of note:
- F1: Confirms net exercise — 1,608 shares issued; 160,892 withheld to pay exercise price using $1.01 closing price.
- F2: Adjustment of 25,381 shares to correct previously reported beneficial ownership.
- F3: Lists option tranches exercisable (62,500; 50,000; 50,000) as stated in the filing.
- F4: Vesting schedule note — one third exercisable as of June 30, 2027; remaining balance vests quarterly over the next two years.
Shares owned after the transaction: not specified in the provided filing data.
Filing timeliness: Form 4 filed July 2, 2026 for transactions on June 29–30, 2026 — appears timely (Form 4 is generally due within 2 business days of the transaction).

Context

This is a common executive action: exercising options with a net/cashless settlement (company withholds shares to cover exercise cost/taxes). That withholding is reported as a disposition but does not necessarily indicate a market sale by the insider.
The 125,000-item grant is an option/award with a multi-year vesting schedule (see F4); such grants are compensation-related and typically subject to future vesting before further exercises or sales.

Form 4

Period: 2026-06-29

DirectorCEO/CFO

Transactions

Exercise/Conversion
Common Stock
[F2]
2026-06-30$1.00/sh+162,500$162,500→ 2,222,119 total
Tax Payment
Common Stock
[F1][F2]
2026-06-30$1.01/sh−160,892$162,501→ 2,061,227 total
Exercise/Conversion
Option to purchase common stock
[F3]
2026-06-30−162,500→ 0 total
Exercise: $1.00From: 2017-12-31Exp: 2026-06-30→ Common Stock (162,500 underlying)
Award
Option to purchase common stock
[F4]
2026-06-29+125,000→ 125,000 total
Exercise: $1.01Exp: 2036-06-29→ Common Stock (125,000 underlying)

Footnotes (4)

[F1]Represents a net exercise of outstanding stock options. The reporting person received 1,608 shares of common stock on the net exercise of option to purchase 162,500 shares of common stock. The issuer withheld 160,892 shares of common stock underlying the option for payment of the exercise price using the closing price of $1.01.
[F2]Reflects an adjustment of 25,381 shares since the Reporting Person's most recent Form 4 filed June 5, 2026 to correct the amount of securities beneficially owned as a result of the transaction reported in that Form 4.
[F3]62,500 options exercisable on 07/01/2016, 50,000 options exercisable on 03/31/2017, and 50,000 options exercisable on 12/31/2017.
[F4]One third of the options are exercisable as of June 30, 2027 and the balance vest quarterly over the subsequent two years.

Signature

/s/ David Jorden|2026-07-02

1 file