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4//SEC Filing

Nuo Therapeutics, Inc. 4

Accession 0001578563-14-000004

$AURXCIK 0001091596operating
View on SEC.govCompany Profile

Filed

Dec 30, 7:00 PM ET

Accepted

Dec 31, 3:51 PM ET

Size

30.7 KB

Accession

0001578563-14-000004

Insider Transaction Report

Form 4
Period: 2014-12-29
Nuo Therapeutics, Inc.NUOT
Aldagen Holdings, LLC
10% OwnerOther
Transactions
  • Sale

    Common Stock

    2014-12-30$0.35/sh−299,900$104,965→ 12,571,845 total
  • Sale

    Common Stock

    2014-12-29$0.35/sh−100$35→ 12,871,745 total
Holdings

  • Common Stock

    (indirect: See Footnote)
    175,533

  • Common Stock

    (indirect: See Footnote)
    429,404

  • Common Stock

    (indirect: See Footnote)
    157,276

  • Warrant (right to buy)

    (indirect: See Footnote)
    Exercise: $0.75From: 2013-02-22Exp: 2018-02-21→ Common Stock (63,636 underlying)
    63,636

  • Warrant (right to buy)

    (indirect: See Footnote)
    Exercise: $0.75From: 2013-02-22Exp: 2018-02-21→ Common Stock (12,727 underlying)
    12,727

  • Warrant (right to buy)

    (indirect: See Footnote)
    Exercise: $1.42Exp: 2014-12-31→ Common Stock (89,029 underlying)
    89,029

  • Warrant (right to buy)

    (indirect: See Footnote)
    Exercise: $1.42Exp: 2014-12-31→ Common Stock (238,315 underlying)
    238,315

  • Warrant (right to buy)

    (indirect: See Footnote)
    Exercise: $0.75From: 2013-02-22Exp: 2018-02-21→ Common Stock (63,636 underlying)
    63,636

  • Warrant (right to buy)

    (indirect: See Footnote)
    Exercise: $1.42Exp: 2014-12-31→ Common Stock (61,584 underlying)
    61,584

  • Warrant (right to buy)

    (indirect: See Footnote)
    Exercise: $0.75From: 2013-02-22Exp: 2018-02-21→ Common Stock (15,616 underlying)
    15,616

  • Common Stock

    (indirect: See Footnote)
    108,830

  • Common Stock

    (indirect: See Footnote)
    60,494

  • Warrant (right to buy)

    (indirect: See Footnote)
    Exercise: $0.75From: 2013-02-22Exp: 2018-02-21→ Common Stock (22,567 underlying)
    22,567

  • Warrant (right to buy)

    (indirect: See Footnote)
    Exercise: $1.42Exp: 2014-12-31→ Common Stock (12,168 underlying)
    12,168
Brooke William W
10% OwnerOther
Transactions
  • Sale

    Common Stock

    2014-12-29$0.35/sh−100$35→ 12,871,745 total
  • Sale

    Common Stock

    2014-12-30$0.35/sh−299,900$104,965→ 12,571,845 total
Holdings

  • Warrant (right to buy)

    (indirect: See Footnote)
    Exercise: $0.75From: 2013-02-22Exp: 2018-02-21→ Common Stock (15,616 underlying)
    15,616

  • Warrant (right to buy)

    (indirect: See Footnote)
    Exercise: $0.75From: 2013-02-22Exp: 2018-02-21→ Common Stock (63,636 underlying)
    63,636

  • Warrant (right to buy)

    (indirect: See Footnote)
    Exercise: $0.75From: 2013-02-22Exp: 2018-02-21→ Common Stock (12,727 underlying)
    12,727

  • Warrant (right to buy)

    (indirect: See Footnote)
    Exercise: $1.42Exp: 2014-12-31→ Common Stock (238,315 underlying)
    238,315

  • Warrant (right to buy)

    (indirect: See Footnote)
    Exercise: $1.42Exp: 2014-12-31→ Common Stock (12,168 underlying)
    12,168

  • Common Stock

    (indirect: See Footnote)
    429,404

  • Warrant (right to buy)

    (indirect: See Footnote)
    Exercise: $1.42Exp: 2014-12-31→ Common Stock (89,029 underlying)
    89,029

  • Warrant (right to buy)

    (indirect: See Footnote)
    Exercise: $1.42Exp: 2014-12-31→ Common Stock (61,584 underlying)
    61,584

  • Common Stock

    (indirect: See Footnote)
    108,830

  • Common Stock

    (indirect: See Footnote)
    157,276

  • Warrant (right to buy)

    (indirect: See Footnote)
    Exercise: $0.75From: 2013-02-22Exp: 2018-02-21→ Common Stock (22,567 underlying)
    22,567

  • Common Stock

    (indirect: See Footnote)
    175,533

  • Common Stock

    (indirect: See Footnote)
    60,494

  • Warrant (right to buy)

    (indirect: See Footnote)
    Exercise: $0.75From: 2013-02-22Exp: 2018-02-21→ Common Stock (63,636 underlying)
    63,636
Clark B. Jefferson
10% OwnerOther
Transactions
  • Sale

    Common Stock

    2014-12-29$0.35/sh−100$35→ 12,871,745 total
  • Sale

    Common Stock

    2014-12-30$0.35/sh−299,900$104,965→ 12,571,845 total
Holdings

  • Common Stock

    (indirect: See Footnote)
    157,276

  • Common Stock

    (indirect: See Footnote)
    429,404

  • Warrant (right to buy)

    (indirect: See Footnote)
    Exercise: $0.75From: 2013-02-22Exp: 2018-02-21→ Common Stock (15,616 underlying)
    15,616

  • Warrant (right to buy)

    (indirect: See Footnote)
    Exercise: $0.75From: 2013-02-22Exp: 2018-02-21→ Common Stock (12,727 underlying)
    12,727

  • Warrant (right to buy)

    (indirect: See Footnote)
    Exercise: $1.42Exp: 2014-12-31→ Common Stock (12,168 underlying)
    12,168

  • Warrant (right to buy)

    (indirect: See Footnote)
    Exercise: $0.75From: 2013-02-22Exp: 2018-02-21→ Common Stock (63,636 underlying)
    63,636

  • Warrant (right to buy)

    (indirect: See Footnote)
    Exercise: $0.75From: 2013-02-22Exp: 2018-02-21→ Common Stock (63,636 underlying)
    63,636

  • Warrant (right to buy)

    (indirect: See Footnote)
    Exercise: $1.42Exp: 2014-12-31→ Common Stock (89,029 underlying)
    89,029

  • Common Stock

    (indirect: See Footnote)
    108,830

  • Common Stock

    (indirect: See Footnote)
    175,533

  • Common Stock

    (indirect: See Footnote)
    60,494

  • Warrant (right to buy)

    (indirect: See Footnote)
    Exercise: $0.75From: 2013-02-22Exp: 2018-02-21→ Common Stock (22,567 underlying)
    22,567

  • Warrant (right to buy)

    (indirect: See Footnote)
    Exercise: $1.42Exp: 2014-12-31→ Common Stock (61,584 underlying)
    61,584

  • Warrant (right to buy)

    (indirect: See Footnote)
    Exercise: $1.42Exp: 2014-12-31→ Common Stock (238,315 underlying)
    238,315
Footnotes (7)
  • [F1]The reportable securities are owned directly by Holdings. The shares directly held by Holdings are indirectly held by the individual managing members of Holdings (each a "Holdings Managing Member" and collectively, the "Holdings Managing Members"). The Holdings Managing Members are B. Jefferson Clark and William Brooke. The Holdings Managing Members may share voting and dispositive power over the shares directly held by Holdings. Each Holdings Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any Holdings Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his or her pecuniary interest therein.
  • [F2]The reportable securities are owned directly by Harbinger/Aurora Venture Fund, L.L.C. ("Harbinger Venture Fund"), and indirectly by Harbinger/Aurora Ventures, L.L.C. ("Harbinger Ventures LLC"), as the managing member of Harbinger Venture Fund. Mr. Clark is the president of Harbinger Ventures LLC and a managing member of Holdings. Harbinger Ventures LLC and Harbinger Venture Fund may share voting and dispositive power over the shares directly held by Harbinger Venture Fund. Mr. Clark disclaims beneficial ownership of these 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.
  • [F3]The reportable securities are owned directly by Harbinger/Aurora QP Venture Fund, L.L.C. ("Harbinger QP"), and indirectly by Harbinger Ventures LLC, as the managing member of Harbinger QP. Harbinger Ventures LLC and Harbinger QP may share voting and dispositive power over the shares directly held by Harbinger QP. Mr. Clark disclaims beneficial ownership of these 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.
  • [F4]The reportable securities are owned directly by Harbert Venture Partners (Annex Fund), L.L.C. ("Harbert Venture Fund"), indirectly by Harbert Venture Partners MM, LLC ("Harbert Venture Partners LLC"), as the sole managing member of Harbert Venture Fund, and indirectly by Will Brooke, as managing partner of Harbert Venture Partners LLC. Mr. Brooke is a managing member of Holdings. Harbert Venture Fund, Harbert Venture Partners LLC, and Mr. Brooke may share voting and dispositive power over the shares directly held by Harbert Venture Fund. Mr. Brooke disclaims beneficial ownership of these 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.
  • [F5]The reportable securities are owned directly by ALD Co-Investor, LLC ("ALD"), indirectly by Harbert Venture Partners LLC, as the sole managing member of ALD, and indirectly by Mr. Brooke, as managing partner of Harbert Venture Partners LLC. ALD, Harbert Venture Partners LLC, and Mr. Brooke may share voting and dispositive power over the shares directly held by ALD. Mr. Brooke disclaims beneficial ownership of these 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.
  • [F6]The reportable securities are owned directly by Aurora Enrichment Fund, L.L.C. ("Aurora"), and indirectly by Aurora Enrichment Management Company, L.L.C. ("Aurora Management Co"), as the managing member of Aurora, and each of the individual managing members of Aurora Management Co. The individual managing members (each an "Aurora Manager" and collectively, the "Aurora Managers") of Aurora Management Co are Messrs. Clark and Albert. Mr. Clark is the manager of Aurora Management Co and a managing member of Holdings. Aurora Management Co, Aurora, and the Aurora Managers may share voting and dispositive power over the shares directly held by Aurora. Each Aurora Manager disclaims beneficial ownership of these 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.
  • [F7]30% of the warrant is exercisable on February 8, 2012, and the remaining balance of the warrant is exercisable upon the occurrence of the Third Post-Closing Issuance (as defined and set forth in Section 2.4 of the Exchange and Purchase Agreement).

Documents

1 file

Issuer

Nuo Therapeutics, Inc.

CIK 0001091596

→
Entity typeoperating
IncorporatedDE

Related Parties

1
  • filerCIK 0001091596

Filing Metadata

Form type
4
Filed
Dec 30, 7:00 PM ET
Accepted
Dec 31, 3:51 PM ET
Size
30.7 KB
View on SEC.gov