0001144204-17-001882.txt : 20170111 0001144204-17-001882.hdr.sgml : 20170111 20170111201923 ACCESSION NUMBER: 0001144204-17-001882 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170109 FILED AS OF DATE: 20170111 DATE AS OF CHANGE: 20170111 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Nuo Therapeutics, Inc. CENTRAL INDEX KEY: 0001091596 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 233011702 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 207A PERRY PARKWAY, STREET 2: SUITE 1 CITY: GAITHERSBURG, STATE: MD ZIP: 20877 BUSINESS PHONE: 240-499-2680 MAIL ADDRESS: STREET 1: 207A PERRY PARKWAY, STREET 2: SUITE 1 CITY: GAITHERSBURG, STATE: MD ZIP: 20877 FORMER COMPANY: FORMER CONFORMED NAME: Nuo Therapeutics, Inc DATE OF NAME CHANGE: 20141112 FORMER COMPANY: FORMER CONFORMED NAME: CYTOMEDIX INC DATE OF NAME CHANGE: 20000511 FORMER COMPANY: FORMER CONFORMED NAME: AUTOLOGOUS WOUND THERAPY INC DATE OF NAME CHANGE: 20000407 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JORDEN DAVID EMERSON CENTRAL INDEX KEY: 0001313516 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32518 FILM NUMBER: 17523821 MAIL ADDRESS: STREET 1: 2635 TECHNOLOGY FOREST BLVD. CITY: THE WOODLANDS STATE: TX ZIP: 77381 4 1 v456665_4.xml OWNERSHIP DOCUMENT X0306 4 2017-01-09 0 0001091596 Nuo Therapeutics, Inc. NONE 0001313516 JORDEN DAVID EMERSON C/O NUO THERAPEUTICS, INC. 207A PERRY PKWY STE 1 GAITHERSBURG MD 20877 1 1 0 0 CEO, CFO Option to purchase Common Stock 1.00 2017-01-09 4 A 0 162500 0 A 2026-07-01 Common Stock 162500 162500 D The grant of these options was approved by the issuer's board of directors on July 1, 2016, subject to stockholder approval of the 2016 Omnibus Incentive Compensation Plan under which the options were granted. Stockholder approval was obtained by means of a written consent and the issuer filed a related Information Statement on Schedule 14C with the SEC on November 25, 2016. The stockholder approval became effective on January 9, 2017. The option grant disclosed herein does not include options to purchase 187,500 shares subject to performance conditions, which have not yet vested and are therefore not yet reportable on Form 4. Of these options, 62,500 vested immediately, and 50,000 each will vest on 3/31/17 and 12/31/17. /s/ David E. Jorden 2017-01-11