0001578563-15-000013.txt : 20150513
0001578563-15-000013.hdr.sgml : 20150513
20150513174042
ACCESSION NUMBER: 0001578563-15-000013
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150511
FILED AS OF DATE: 20150513
DATE AS OF CHANGE: 20150513
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Nuo Therapeutics, Inc.
CENTRAL INDEX KEY: 0001091596
STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841]
IRS NUMBER: 232958959
STATE OF INCORPORATION: DE
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: Clark B. Jefferson
CENTRAL INDEX KEY: 0001435388
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32518
FILM NUMBER: 15859551
MAIL ADDRESS:
STREET 1: C/O ALDAGEN, INC., 2810 MERDIAN PARKWAY
STREET 2: SUITE 148
CITY: DURHAM
STATE: NC
ZIP: 27713
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Brooke William W
CENTRAL INDEX KEY: 0001545337
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32518
FILM NUMBER: 15859552
MAIL ADDRESS:
STREET 1: 2100 THIRD AVENUE NORTH
STREET 2: SUITE 600
CITY: BIRMINGHAM
STATE: AL
ZIP: 35203
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Aldagen Holdings, LLC
CENTRAL INDEX KEY: 0001544982
STATE OF INCORPORATION: NC
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32518
FILM NUMBER: 15859553
BUSINESS ADDRESS:
STREET 1: C/O THOMAS A. ALLEN, ESQ.
STREET 2: 4101 LAKE BOONE TRAIL, STE 300
CITY: RALEIGH
STATE: NC
ZIP: 27607
BUSINESS PHONE: 919-781-4000
MAIL ADDRESS:
STREET 1: C/O THOMAS A. ALLEN, ESQ.
STREET 2: 4101 LAKE BOONE TRAIL, STE 300
CITY: RALEIGH
STATE: NC
ZIP: 27607
4
1
primary_doc.xml
PRIMARY DOCUMENT
X0306
4
2015-05-11
0
0001091596
Nuo Therapeutics, Inc.
NUOT
0001544982
Aldagen Holdings, LLC
C/O THOMAS A. ALLEN, ESQ.
4101 LAKE BOONE TRAIL, STE 300
RALEIGH
NC
27607
0
0
1
1
May be part of a 13(d) Group
0001545337
Brooke William W
1210 EAST CARY STREET
SUITE 400
RICHMOND
VA
23219
0
0
1
1
May be part of a 13(d) Group
0001435388
Clark B. Jefferson
790 SE CARY PARKWAY
SUITE 204
CARY
NC
27511
0
0
1
1
May be part of a 13(d) Group
Common Stock
2015-05-11
4
S
0
50000
0.27
D
13139215
D
Common Stock
108830
I
See Footnote
Common Stock
157276
I
See Footnote
Common Stock
175533
I
See Footnote
Common Stock
429404
I
See Footnote
Common Stock
60494
I
See Footnote
Warrant (right to buy)
0.75
2013-02-22
2018-02-21
Common Stock
15616
15616
I
See Footnote
Warrant (right to buy)
0.75
2013-02-22
2018-02-21
Common Stock
22567
22567
I
See Footnote
Warrant (right to buy)
0.75
2013-02-22
2018-02-21
Common Stock
63636
63636
I
See Footnote
Warrant (right to buy)
0.75
2013-02-22
2018-02-21
Common Stock
63636
63636
I
See Footnote
Warrant (right to buy)
0.75
2013-02-22
2018-02-21
Common Stock
12727
12727
I
See Footnote
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.
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.
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.
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.
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.
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.
/s/ Thomas A. Allen, attorney-in-fact for Aldagen Holdings, LLC
2015-05-13
/s/ Thomas A. Allen, attorney-in-fact for William W. Brooke
2015-05-13
/s/ Thomas A. Allen, attorney-in-fact for B. Jefferson Clark
2015-05-13