Nuo Therapeutics, Inc. 4

Accession 0001578563-15-000003

$AURXCIK 0001091596operating

View on SEC.gov Company Profile

Filed

Jan 14, 7:00 PM ET

Accepted

Jan 15, 4:52 PM ET

Size

25.0 KB

Accession

0001578563-15-000003

Insider Transaction Report

Form 4

Period: 2015-01-13

Nuo Therapeutics, Inc.NUOT

Aldagen Holdings, LLC

10% OwnerOther

Transactions

Sale
Common Stock
2015-01-13$0.35/sh−14,000$4,900→ 12,340,362 total
Sale
Common Stock
2015-01-14$0.35/sh−153,467$53,713→ 12,186,895 total

Holdings

Common Stock
(indirect: See Footnote 6)
60,494
Warrant (right to buy)
(indirect: See Footnote 5)
Exercise: $0.75From: 2013-02-22Exp: 2018-02-21→ Common Stock (63,636 underlying)
63,636
Common Stock
(indirect: See Footnote 2)
108,830
Common Stock
(indirect: See Footnote 3)
157,276
Common Stock
(indirect: See Footnote 4)
175,533
Common Stock
(indirect: See Footnote 5)
429,404
Warrant (right to buy)
(indirect: See Footnote 2)
Exercise: $0.75From: 2013-02-22Exp: 2018-02-21→ Common Stock (15,616 underlying)
15,616
Warrant (right to buy)
(indirect: See Footnote 3)
Exercise: $0.75From: 2013-02-22Exp: 2018-02-21→ Common Stock (22,567 underlying)
22,567
Warrant (right to buy)
(indirect: See Footnote 4)
Exercise: $0.75From: 2013-02-22Exp: 2018-02-21→ Common Stock (63,636 underlying)
63,636
Warrant (right to buy)
(indirect: See Footnote 6)
Exercise: $0.75From: 2013-02-22Exp: 2018-02-21→ Common Stock (12,727 underlying)
12,727

Brooke William W

10% OwnerOther

Transactions

Sale
Common Stock
2015-01-14$0.35/sh−153,467$53,713→ 12,186,895 total
Sale
Common Stock
2015-01-13$0.35/sh−14,000$4,900→ 12,340,362 total

Holdings

Common Stock
(indirect: See Footnote 2)
108,830
Common Stock
(indirect: See Footnote 4)
175,533
Common Stock
(indirect: See Footnote 6)
60,494
Warrant (right to buy)
(indirect: See Footnote 3)
Exercise: $0.75From: 2013-02-22Exp: 2018-02-21→ Common Stock (22,567 underlying)
22,567
Warrant (right to buy)
(indirect: See Footnote 5)
Exercise: $0.75From: 2013-02-22Exp: 2018-02-21→ Common Stock (63,636 underlying)
63,636
Warrant (right to buy)
(indirect: See Footnote 6)
Exercise: $0.75From: 2013-02-22Exp: 2018-02-21→ Common Stock (12,727 underlying)
12,727
Common Stock
(indirect: See Footnote 3)
157,276
Common Stock
(indirect: See Footnote 5)
429,404
Warrant (right to buy)
(indirect: See Footnote 2)
Exercise: $0.75From: 2013-02-22Exp: 2018-02-21→ Common Stock (15,616 underlying)
15,616
Warrant (right to buy)
(indirect: See Footnote 4)
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
2015-01-13$0.35/sh−14,000$4,900→ 12,340,362 total
Sale
Common Stock
2015-01-14$0.35/sh−153,467$53,713→ 12,186,895 total

Holdings

Common Stock
(indirect: See Footnote 2)
108,830
Common Stock
(indirect: See Footnote 3)
157,276
Common Stock
(indirect: See Footnote 5)
429,404
Warrant (right to buy)
(indirect: See Footnote 3)
Exercise: $0.75From: 2013-02-22Exp: 2018-02-21→ Common Stock (22,567 underlying)
22,567
Common Stock
(indirect: See Footnote 4)
175,533
Common Stock
(indirect: See Footnote 6)
60,494
Warrant (right to buy)
(indirect: See Footnote 4)
Exercise: $0.75From: 2013-02-22Exp: 2018-02-21→ Common Stock (63,636 underlying)
63,636
Warrant (right to buy)
(indirect: See Footnote 2)
Exercise: $0.75From: 2013-02-22Exp: 2018-02-21→ Common Stock (15,616 underlying)
15,616
Warrant (right to buy)
(indirect: See Footnote 5)
Exercise: $0.75From: 2013-02-22Exp: 2018-02-21→ Common Stock (63,636 underlying)
63,636
Warrant (right to buy)
(indirect: See Footnote 6)
Exercise: $0.75From: 2013-02-22Exp: 2018-02-21→ Common Stock (12,727 underlying)
12,727

Footnotes (6)

[F1]The reportable securities are owned directly by Aldagen Holdings, LLC ("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.

Documents

1 file

4
primary_doc.xmlPrimary
PRIMARY DOCUMENT

Issuer

Nuo Therapeutics, Inc.

CIK 0001091596

→

Entity typeoperating

IncorporatedDE

Related Parties

filerCIK 0001091596

Filing Metadata

Form type: 4
Filed: Jan 14, 7:00 PM ET
Accepted: Jan 15, 4:52 PM ET
Size: 25.0 KB

View on SEC.gov