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Nuo Therapeutics, Inc.

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7149
SEC CIK
0001091596
Parsed reports
85

Last 12 months

Inside the activity.

2 purchase rows · 1 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202501
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202620
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
October 06, 2026 Filed Oct 6, 2026 22:11 UTC
Pittman Scott M.Director · 10% owner
GrantPrepayment Restated Warrant (right to buy) · Derivative 458 $1.50 Strike: $1.50 $687.00
Disclosure

SEC source: 0001437749-26-032249 · rdgdoc.xml · derivative · entry 2

Pittman Scott M. · CIK 0001674752 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 458

Underlying: Common Stock · 458 shares

Expires 2031-01-23

F2 · security: Represents maximum number of shares issuable (if at all) in the event of a Prepayment in accordance with the Loan Agreement, issued in connection with the assumption of a portion of an assigned commitment pursuant to the Amendment. The Reporting Person also holds a previously-reported separate Prepayment Restated Warrant that was issued on May 29, 2026, subject to the same vesting provision set forth in footnote (3) immediately below.

F3 · derivative.exercise_date: Vesting (if at all) upon the occurrence of a Prepayment, but no later than December 31, 2027, in accordance with the Loan Agreement.

Read SEC document
October 06, 2026 Filed Oct 6, 2026 22:11 UTC
Pittman Scott M.Director · 10% owner
GrantSecond Restated Warrant (right to buy) · Derivative 4,500 $1.50 Strike: $1.50 $6,750.00
Disclosure

SEC source: 0001437749-26-032249 · rdgdoc.xml · derivative · entry 1

Pittman Scott M. · CIK 0001674752 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,500

Underlying: Common Stock · 4,500 shares

Expires 2031-01-23

F1 · security: Represents Commitment, Origination Restated Second, and Capital Restate Second Warrants issued in connection with the assumption of a portion of an assigned funding commitment pursuant to the Assignment, Joinder, and Amendment No. 1 dated October 6, 2026 among the Issuer, the Reporting Person, and the other parties thereto (the "Amendment"), relating to the Amended and Restated Loan and Security Agreement dated May 29, 2026 (the "Loan Agreement"). The Reporting Person also holds a previously reported separate Second Restated Warrant that was issued and become exercisable on May 29, 2026.

Read SEC document
August 28, 2026 Filed Aug 29, 2026 01:46 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
GrantCommon Stock 7,984 $1.09 $8,694.58
Disclosure

SEC source: 0001437749-26-029236 · rdgdoc.xml · nonDerivative · entry 2

JORDEN DAVID EMERSON · CIK 0001313516 · Director · CEO/CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,070,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.08 to $1.10, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate transaction with the range set forth herein.

Read SEC document
August 28, 2026 Filed Aug 31, 2026 14:29 UTC Amendment
JORDEN DAVID EMERSONDirector · CEO/CFO
PurchaseCommon Stock 7,984 $1.09 $8,694.58
Disclosure

SEC source: 0001437749-26-029257 · rdgdoc.xml · nonDerivative · entry 2

JORDEN DAVID EMERSON · CIK 0001313516 · Director · CEO/CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,070,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.08 to $1.10, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate transaction with the range set forth herein.

Read SEC document
August 27, 2026 Filed Aug 29, 2026 01:46 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
GrantCommon Stock 789 $1.07 $844.23
Disclosure

SEC source: 0001437749-26-029236 · rdgdoc.xml · nonDerivative · entry 1

JORDEN DAVID EMERSON · CIK 0001313516 · Director · CEO/CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,062,016

Read SEC document
August 27, 2026 Filed Aug 31, 2026 14:29 UTC Amendment
JORDEN DAVID EMERSONDirector · CEO/CFO
PurchaseCommon Stock 789 $1.07 $844.23
Disclosure

SEC source: 0001437749-26-029257 · rdgdoc.xml · nonDerivative · entry 1

JORDEN DAVID EMERSON · CIK 0001313516 · Director · CEO/CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,062,016

Read SEC document
June 30, 2026 Filed Jul 3, 2026 01:02 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
Exercise / conversionOption to purchase common stock · Derivative 162,500 $0.00 Strike: $1.00 $0.00
Disclosure

SEC source: 0001437749-26-022665 · rdgdoc.xml · derivative · entry 3

JORDEN DAVID EMERSON · CIK 0001313516 · Director · CEO/CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 162,500 shares

Expires 2026-06-30

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: 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.

Read SEC document
June 30, 2026 Filed Jul 3, 2026 01:02 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
Tax withholdingCommon Stock 160,892 $1.01 $162,500.92
Disclosure

SEC source: 0001437749-26-022665 · rdgdoc.xml · nonDerivative · entry 2

JORDEN DAVID EMERSON · CIK 0001313516 · Director · CEO/CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,061,227

F1 · kind: 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 · balance_after: 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.

Read SEC document
June 30, 2026 Filed Jul 3, 2026 01:02 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
Exercise / conversionCommon Stock 162,500 $1.00 $162,500.00
Disclosure

SEC source: 0001437749-26-022665 · rdgdoc.xml · nonDerivative · entry 1

JORDEN DAVID EMERSON · CIK 0001313516 · Director · CEO/CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,222,119

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · balance_after: 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.

Read SEC document
June 30, 2026 Filed Jul 3, 2026 01:00 UTC
Pittman Scott M.Director · 10% owner
Exercise / conversionOption to purchase common stock · Derivative 40,000 $0.00 Strike: $1.00 $0.00
Disclosure

SEC source: 0001437749-26-022664 · rdgdoc.xml · derivative · entry 3

Pittman Scott M. · CIK 0001674752 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 40,000 shares

Expires 2026-06-30

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: 15,000 options exercisable on 07/01/2016 and 25,000 options exercisable on 01/01/2017.

Read SEC document
June 30, 2026 Filed Jul 3, 2026 01:00 UTC
Pittman Scott M.Director · 10% owner
Tax withholdingCommon Stock 39,604 $1.01 $40,000.04
Disclosure

SEC source: 0001437749-26-022664 · rdgdoc.xml · nonDerivative · entry 2

Pittman Scott M. · CIK 0001674752 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,400,396

F1 · kind: Represents a net exercise of outstanding stock options. The reporting person received 396 shares of common stock on the net exercise of option to purchase 40,000 shares of common stock. The issuer withheld 39,604 shares of common stock underlying the option for payment of the exercise price using the closing price of $1.01.

Read SEC document
June 30, 2026 Filed Jul 3, 2026 01:00 UTC
Pittman Scott M.Director · 10% owner
Exercise / conversionCommon Stock 40,000 $1.00 $40,000.00
Disclosure

SEC source: 0001437749-26-022664 · rdgdoc.xml · nonDerivative · entry 1

Pittman Scott M. · CIK 0001674752 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,440,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 30, 2026 Filed Jul 3, 2026 00:59 UTC Exercise / conversionOption to purchase common stock · Derivative 40,000 $0.00 Strike: $1.00 $0.00
Disclosure

SEC source: 0001437749-26-022662 · rdgdoc.xml · derivative · entry 3

WINZER C ERIC · CIK 0001205362 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 40,000 shares

Expires 2026-06-30

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: 15,000 options exercisable on 07/01/2016 and 25,000 options exercisable on 01/01/2017.

Read SEC document
June 30, 2026 Filed Jul 3, 2026 00:59 UTC Tax withholdingCommon Stock 39,604 $1.01 $40,000.04
Disclosure

SEC source: 0001437749-26-022662 · rdgdoc.xml · nonDerivative · entry 2

WINZER C ERIC · CIK 0001205362 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 173,050

F1 · kind: Represents a net exercise of outstanding stock options. The reporting person received 396 shares of common stock on the net exercise of option to purchase 40,000 shares of common stock. The issuer withheld 39,604 shares of common stock underlying the option for payment of the exercise price using the closing price of $1.01.

Read SEC document
June 30, 2026 Filed Jul 3, 2026 00:59 UTC Exercise / conversionCommon Stock 40,000 $1.00 $40,000.00
Disclosure

SEC source: 0001437749-26-022662 · rdgdoc.xml · nonDerivative · entry 1

WINZER C ERIC · CIK 0001205362 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 212,654

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 29, 2026 Filed Jul 3, 2026 01:31 UTC GrantOption to purchase common stock · Derivative 65,000 $0.00 Strike: $1.01 $0.00
Disclosure

SEC source: 0001437749-26-022670 · rdgdoc.xml · derivative · entry 1

CLAUSEN PETER · CIK 0001605411 · CSO/COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,000

Underlying: Common Stock · 65,000 shares

Expires 2036-06-29

F1 · derivative.exercise_date: One third of the options are exercisable as of June 30, 2027 and the balance vest quarterly over the subsequent two years.

Read SEC document
June 29, 2026 Filed Jul 3, 2026 01:02 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
GrantOption to purchase common stock · Derivative 125,000 $0.00 Strike: $1.01 $0.00
Disclosure

SEC source: 0001437749-26-022665 · rdgdoc.xml · derivative · entry 4

JORDEN DAVID EMERSON · CIK 0001313516 · Director · CEO/CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2036-06-29

F4 · derivative.exercise_date: One third of the options are exercisable as of June 30, 2027 and the balance vest quarterly over the subsequent two years.

Read SEC document
June 29, 2026 Filed Jul 3, 2026 01:00 UTC
Pittman Scott M.Director · 10% owner
GrantOption to purchase common stock · Derivative 30,000 $0.00 Strike: $1.01 $0.00
Disclosure

SEC source: 0001437749-26-022664 · rdgdoc.xml · derivative · entry 4

Pittman Scott M. · CIK 0001674752 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2036-06-29

F3 · derivative.exercise_date: The options fully vest as of June 30, 2027.

Read SEC document
June 29, 2026 Filed Jul 3, 2026 00:59 UTC GrantOption to purchase common stock · Derivative 30,000 $0.00 Strike: $1.01 $0.00
Disclosure

SEC source: 0001437749-26-022662 · rdgdoc.xml · derivative · entry 4

WINZER C ERIC · CIK 0001205362 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2036-06-29

F3 · derivative.exercise_date: The options fully vest as of June 30, 2027.

Read SEC document
June 29, 2026 Filed Jul 3, 2026 00:58 UTC
Mintz PaulDirector
GrantOption to Purchase Common Stock · Derivative 30,000 $0.00 Strike: $1.01 $0.00
Disclosure

SEC source: 0001437749-26-022661 · rdgdoc.xml · derivative · entry 1

Mintz Paul · CIK 0001480208 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2036-06-29

F1 · derivative.exercise_date: The options fully vest as of June 30, 2027.

Read SEC document
June 05, 2026 Filed Jun 5, 2026 22:34 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
GrantCommon Stock 13,245 $1.10 $14,505.92
Disclosure

SEC source: 0001437749-26-019768 · rdgdoc.xml · nonDerivative · entry 1

JORDEN DAVID EMERSON · CIK 0001313516 · Director · CEO/CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,085,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.042 to $1.15, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate transaction with the range set forth herein.

Read SEC document
May 29, 2026 Filed Jun 3, 2026 01:54 UTC
Pittman Scott M.Director · 10% owner
GrantPrepayment Restated Warrant (right to buy) · Derivative 7,333 $1.50 Strike: $1.50 $10,999.50
Disclosure

SEC source: 0001437749-26-019246 · rdgdoc.xml · derivative · entry 5

Pittman Scott M. · CIK 0001674752 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,333 shares

Expires 2031-01-23

F2 · date: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

F5 · kind: Previously issued Prepayment Warrants cancelled for Prepayment Restated Warrants with same terms, including same exercise price (and cancelled on date when underlying Common Stock traded at lower price than when previously issued), in accordance with the Loan Agreement.

F7 · shares: Represents maximum number of shares issuable (if at all) in the event of a Prepayment in accordance with the Loan Agreement.

F8 · derivative.exercise_date: Vesting (if at all) upon the occurrence of a Prepayment, but no later than December 31, 2028, in accordance with the Loan Agreement.

Read SEC document
May 29, 2026 Filed Jun 3, 2026 01:54 UTC
Pittman Scott M.Director · 10% owner
GrantSecond Restated Warrant (right to buy) · Derivative 17,500 $1.50 Strike: $1.50 $26,250.00
Disclosure

SEC source: 0001437749-26-019246 · rdgdoc.xml · derivative · entry 4

Pittman Scott M. · CIK 0001674752 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 17,500 shares

Expires 2031-01-23

F2 · date: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

F4 · kind: Previously issued Second Warrants cancelled for Second Restated Warrants with same terms, including same exercise price (and cancelled on date when underlying Common Stock traded at lower price than when previously issued), in accordance with the Amended and Restated Loan and Security Agreement dated May 29, 2026 among the Issuer, the Reporting Person, and other parties thereto (the "Loan Agreement").

F6 · derivative.exercise_date: Vesting (if at all) on September 30, 2026 provided a Second Funding occurs in accordance with the Loan Agreement.

Read SEC document
May 29, 2026 Filed Jun 3, 2026 01:54 UTC
Pittman Scott M.Director · 10% owner
Disposition to issuerPrepayment Warrant (right to buy) · Derivative 7,516 $1.50 Strike: $1.50 $11,274.00
Disclosure

SEC source: 0001437749-26-019246 · rdgdoc.xml · derivative · entry 3

Pittman Scott M. · CIK 0001674752 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,516 shares

Expires 2031-01-23

F2 · date: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

F5 · kind: Previously issued Prepayment Warrants cancelled for Prepayment Restated Warrants with same terms, including same exercise price (and cancelled on date when underlying Common Stock traded at lower price than when previously issued), in accordance with the Loan Agreement.

Read SEC document
May 29, 2026 Filed Jun 3, 2026 01:54 UTC
Pittman Scott M.Director · 10% owner
Disposition to issuerSecond Warrant (right to buy) · Derivative 36,750 $1.50 Strike: $1.50 $55,125.00
Disclosure

SEC source: 0001437749-26-019246 · rdgdoc.xml · derivative · entry 2

Pittman Scott M. · CIK 0001674752 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 36,750 shares

Expires 2031-01-23

F3 · security: Represents Origination Restated Second and Capital Restated Second Warrants.

F2 · date: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

F4 · kind: Previously issued Second Warrants cancelled for Second Restated Warrants with same terms, including same exercise price (and cancelled on date when underlying Common Stock traded at lower price than when previously issued), in accordance with the Amended and Restated Loan and Security Agreement dated May 29, 2026 among the Issuer, the Reporting Person, and other parties thereto (the "Loan Agreement").

Read SEC document
May 29, 2026 Filed Jun 3, 2026 01:54 UTC
Pittman Scott M.Director · 10% owner
GrantInterim Warrant (right to buy) · Derivative 17,450 $1.50 Strike: $1.50 $26,175.00
Disclosure

SEC source: 0001437749-26-019246 · rdgdoc.xml · derivative · entry 1

Pittman Scott M. · CIK 0001674752 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,450

Underlying: Common Stock · 17,450 shares

Expires 2031-01-23

F1 · security: Represents Origination Interim and Capital Interim Warrants.

F2 · date: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

Read SEC document
January 23, 2026 Filed Jan 26, 2026 23:44 UTC
Pittman Scott M.Director · 10% owner
GrantPrepayment Warrants (right to buy) · Derivative 7,516 $1.50 Strike: $1.50 $11,274.00
Disclosure

SEC source: 0001437749-26-002128 · rdgdoc.xml · derivative · entry 6

Pittman Scott M. · CIK 0001674752 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,516 shares

Expires 2031-01-23

F2 · derivative.exercise_date: Will vest (if at all) upon the occurrence of a Prepayment, but no later than December 31, 2028, in accordance with the Loan Agreement.

F3 · derivative.underlying_shares: Represents maximum number of shares issuable (if at all) in the event of a Prepayment in accordance with the Loan Agreement. The Board of Directors of Issuer and Non-Employee Directors approved the Loan Agreement and issuance of warrants and shares of Common Stock issuable thereunder

Read SEC document
January 23, 2026 Filed Jan 26, 2026 23:44 UTC
Pittman Scott M.Director · 10% owner
GrantCapital Second Warrants (right to buy) · Derivative 35,000 $1.50 Strike: $1.50 $52,500.00
Disclosure

SEC source: 0001437749-26-002128 · rdgdoc.xml · derivative · entry 5

Pittman Scott M. · CIK 0001674752 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 35,000 shares

Expires 2031-01-23

F1 · derivative.exercise_date: Will vest (if at all) on September 30, 2026 provided a Second Funding occurs in accordance with the Loan and Security Agreement dated January 21, 2026 among the Issuer, the Reporting Person, and other parties thereto (the "Loan Agreement").

Read SEC document
January 23, 2026 Filed Jan 26, 2026 23:44 UTC
Pittman Scott M.Director · 10% owner
GrantOrigination Second Warrants (right to buy) · Derivative 1,750 $1.50 Strike: $1.50 $2,625.00
Disclosure

SEC source: 0001437749-26-002128 · rdgdoc.xml · derivative · entry 4

Pittman Scott M. · CIK 0001674752 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,750 shares

Expires 2031-01-23

F1 · derivative.exercise_date: Will vest (if at all) on September 30, 2026 provided a Second Funding occurs in accordance with the Loan and Security Agreement dated January 21, 2026 among the Issuer, the Reporting Person, and other parties thereto (the "Loan Agreement").

Read SEC document
January 23, 2026 Filed Jan 26, 2026 23:44 UTC
Pittman Scott M.Director · 10% owner
GrantCapital Initial Warrants (right to buy) · Derivative 26,667 $1.50 Strike: $1.50 $40,000.50
Disclosure

SEC source: 0001437749-26-002128 · rdgdoc.xml · derivative · entry 3

Pittman Scott M. · CIK 0001674752 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 26,667 shares

Expires 2031-01-23

Read SEC document
January 23, 2026 Filed Jan 26, 2026 23:44 UTC
Pittman Scott M.Director · 10% owner
GrantOrigination Initial Warrants (right to buy) · Derivative 1,333 $1.50 Strike: $1.50 $1,999.50
Disclosure

SEC source: 0001437749-26-002128 · rdgdoc.xml · derivative · entry 2

Pittman Scott M. · CIK 0001674752 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,333 shares

Expires 2031-01-23

Read SEC document
January 23, 2026 Filed Jan 26, 2026 23:44 UTC
Pittman Scott M.Director · 10% owner
GrantCommitment Warrants (right to buy) · Derivative 2,050 $1.50 Strike: $1.50 $3,075.00
Disclosure

SEC source: 0001437749-26-002128 · rdgdoc.xml · derivative · entry 1

Pittman Scott M. · CIK 0001674752 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,050 shares

Expires 2031-01-23

Read SEC document
January 23, 2026 Filed Jun 3, 2026 01:49 UTC Amendment
Pittman Scott M.Director · 10% owner
GrantPrepayment Warrant (right to buy) · Derivative 7,516 $1.50 Strike: $1.50 $11,274.00
Disclosure

SEC source: 0001437749-26-019244 · rdgdoc.xml · derivative · entry 3

Pittman Scott M. · CIK 0001674752 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,516 shares

Expires 2031-01-23

F4 · shares: Represents maximum number of shares issuable (if at all) in the event of a Prepayment in accordance with the Loan Agreement.

F5 · derivative.exercise_date: Will vest (if at all) upon the occurrence of a Prepayment, but no later than December 31, 2028, in accordance with the Loan Agreement.

F4 · derivative.underlying_shares: Represents maximum number of shares issuable (if at all) in the event of a Prepayment in accordance with the Loan Agreement.

Read SEC document
January 23, 2026 Filed Jun 3, 2026 01:49 UTC Amendment
Pittman Scott M.Director · 10% owner
GrantSecond Warrant (right to buy) · Derivative 36,750 $1.50 Strike: $1.50 $55,125.00
Disclosure

SEC source: 0001437749-26-019244 · rdgdoc.xml · derivative · entry 2

Pittman Scott M. · CIK 0001674752 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 36,750 shares

Expires 2031-01-23

F2 · security: This Form 4 amendment corrects the name of warrant issued in the form of an integrated Second Warrant, which represents Origination Second Capital Second Warrants.

F3 · derivative.exercise_date: Will vest (if at all) on September 30, 2026 provided a Second Funding occurs in accordance with the Loan and Security Agreement dated January 21, 2026 among the Issuer, the Reporting Person, and other parties thereto (the "Loan Agreement").

Read SEC document
January 23, 2026 Filed Jun 3, 2026 01:49 UTC Amendment
Pittman Scott M.Director · 10% owner
GrantInitial Warrant (right to buy) · Derivative 30,050 $1.50 Strike: $1.50 $45,075.00
Disclosure

SEC source: 0001437749-26-019244 · rdgdoc.xml · derivative · entry 1

Pittman Scott M. · CIK 0001674752 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,050

Underlying: Common Stock · 30,050 shares

Expires 2031-01-23

F1 · security: This Form 4 amendment corrects the name of warrant issued in the form of an integrated Initial Warrant, which represents Commitment Initial, Origination Initial, and Capital Initial Warrants immediately exercisable for an aggregate of 30,050 shares of Common Stock.

F1 · balance_after: This Form 4 amendment corrects the name of warrant issued in the form of an integrated Initial Warrant, which represents Commitment Initial, Origination Initial, and Capital Initial Warrants immediately exercisable for an aggregate of 30,050 shares of Common Stock.

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January 01, 2026 Filed Jan 6, 2026 00:25 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
Tax withholdingCommon Stock 25,381 $1.97 $50,000.57
Disclosure

SEC source: 0001437749-26-000431 · rdgdoc.xml · nonDerivative · entry 2

JORDEN DAVID EMERSON · CIK 0001313516 · Director · CEO/CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,046,374

F1 · kind: Represents a net exercise of outstanding stock options. The reporting person received 99,619 shares of common stock on the net exercise of option to purchase 125,000 shares of common stock. The issuer withheld 25,381 shares of common stock underlying the option for payment of the exercise price using the closing price of $1.97.

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January 01, 2026 Filed Jan 6, 2026 00:25 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
Exercise / conversionCommon Stock 125,000 $0.40 $50,000.00
Disclosure

SEC source: 0001437749-26-000431 · rdgdoc.xml · nonDerivative · entry 1

JORDEN DAVID EMERSON · CIK 0001313516 · Director · CEO/CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,071,755

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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December 31, 2025 Filed Dec 22, 2025 16:53 UTC Exercise / conversionOption to purchase common stock · Derivative 68,750 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001437749-25-038506 · rdgdoc.xml · derivative · entry 3

WINZER C ERIC · CIK 0001205362 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 68,750 shares

Expires 2025-12-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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December 17, 2025 Filed Dec 22, 2025 16:53 UTC Tax withholdingCommon Stock 13,750 $2.00 $27,500.00
Disclosure

SEC source: 0001437749-25-038506 · rdgdoc.xml · nonDerivative · entry 2

WINZER C ERIC · CIK 0001205362 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 172,654

F1 · kind: Represents a net exercise of outstanding stock options. The reporting person received 55,000 shares of common stock on the net exercise of option to purchase 68,750 shares of common stock. The issuer withheld 13,750 shares of common stock underlying the option for payment of the exercise price using the closing price of $2.00.

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December 17, 2025 Filed Dec 22, 2025 16:53 UTC Exercise / conversionCommon Stock 68,750 $0.40 $27,500.00
Disclosure

SEC source: 0001437749-25-038506 · rdgdoc.xml · nonDerivative · entry 1

WINZER C ERIC · CIK 0001205362 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 186,404

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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December 09, 2025 Filed Dec 12, 2025 02:55 UTC Amendment
Mintz PaulDirector
Tax withholdingCommon Stock 9,091 $2.20 $20,000.20
Disclosure

SEC source: 0001437749-25-037614 · rdgdoc.xml · nonDerivative · entry 2

Mintz Paul · CIK 0001480208 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 108,294

F1 · kind: Represents a net exercise of outstanding stock options. The reporting person received 40,909 shares of common stock on the net exercise of option to purchase 50,000 shares of common stock. The issuer withheld 9,091 shares of common stock underlying the option for payment of the exercise price using the closing price of $2.20.

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December 09, 2025 Filed Dec 12, 2025 02:55 UTC Amendment
Mintz PaulDirector
Exercise / conversionCommon Stock 50,000 $0.40 $20,000.00
Disclosure

SEC source: 0001437749-25-037614 · rdgdoc.xml · nonDerivative · entry 1

Mintz Paul · CIK 0001480208 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 117,385

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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December 09, 2025 Filed Dec 11, 2025 23:51 UTC
Mintz PaulDirector
Tax withholdingCommon Stock 9,091 $2.20 $20,000.20
Disclosure

SEC source: 0001437749-25-037591 · rdgdoc.xml · nonDerivative · entry 2

Mintz Paul · CIK 0001480208 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 108,294

F1 · kind: Represents a net exercise of outstanding stock options. The reporting person received 40,909 shares of common stock on the net exercise of option to purchase 50,000 shares of common stock. The issuer withheld 9,091 shares of common stock underlying the option for payment of the exercise price using the closing price of $2.20.

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December 09, 2025 Filed Dec 11, 2025 23:51 UTC
Mintz PaulDirector
Exercise / conversionCommon Stock 50,000 $0.40 $20,000.00
Disclosure

SEC source: 0001437749-25-037591 · rdgdoc.xml · nonDerivative · entry 1

Mintz Paul · CIK 0001480208 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 117,385

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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November 28, 2025 Filed Dec 3, 2025 23:13 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
SaleCommon Stock 200,000 $1.50 $300,000.00
Disclosure

SEC source: 0001437749-25-036821 · rdgdoc.xml · nonDerivative · entry 1

JORDEN DAVID EMERSON · CIK 0001313516 · Director · CEO/CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,946,755

F1 · kind: The transaction reported herein was made in a private transaction to facilitate a personal real estate transaction whereby the shares of common stock acquired constitute "restricted" securities within the meaning of the Securities Act of 1933, as amended.

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August 01, 2025 Filed Aug 4, 2025 13:36 UTC Amendment Tax withholdingCommon Stock 27,659 $1.74 $48,126.66
Disclosure

SEC source: 0001437749-25-024508 · rdgdoc.xml · nonDerivative · entry 2

WINZER C ERIC · CIK 0001205362 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 117,654

F1 · kind: Represents a net exercise of outstanding stock options. The reporting person received 92,654 shares of common stock on the net exercise of option to purchase 120,313 shares of common stock. The issuer withheld 27,659 shares of common stock underlying the option for payment of the exercise price using the closing price of $1.74.

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August 01, 2025 Filed Aug 4, 2025 13:36 UTC Amendment Exercise / conversionCommon Stock 120,313 $0.40 $48,125.20
Disclosure

SEC source: 0001437749-25-024508 · rdgdoc.xml · nonDerivative · entry 1

WINZER C ERIC · CIK 0001205362 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 145,313

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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August 01, 2025 Filed Aug 4, 2025 13:26 UTC Tax withholdingCommon Stock 27,659 $1.74 $48,126.66
Disclosure

SEC source: 0001437749-25-024505 · rdgdoc.xml · nonDerivative · entry 2

WINZER C ERIC · CIK 0001205362 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 117,654

F1 · kind: Represents a net exercise of outstanding stock options. The reporting person received 90,606 shares of common stock on the net exercise of option to purchase 120,313 shares of common stock. The issuer withheld 27,659 shares of common stock underlying the option for payment of the exercise price using the closing price of $1.74.

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August 01, 2025 Filed Aug 4, 2025 13:26 UTC Exercise / conversionCommon Stock 120,313 $0.40 $48,125.20
Disclosure

SEC source: 0001437749-25-024505 · rdgdoc.xml · nonDerivative · entry 1

WINZER C ERIC · CIK 0001205362 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 145,313

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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August 01, 2025 Filed Aug 4, 2025 13:13 UTC
Mintz PaulDirector
Tax withholdingCommon Stock 20,115 $1.74 $35,000.10
Disclosure

SEC source: 0001437749-25-024499 · rdgdoc.xml · nonDerivative · entry 2

Mintz Paul · CIK 0001480208 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 67,385

F1 · kind: Represents a net exercise of outstanding stock options. The reporting person received 67,385 shares of common stock on the net exercise of option to purchase 87,500 shares of common stock. The issuer withheld 20,115 shares of common stock underlying the option for payment of the exercise price using the closing price of $1.74.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.