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Nuo Therapeutics, Inc.

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Tapewire entity
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
December 30, 2021 Filed Apr 27, 2022 01:26 UTC
Pittman Scott M.Director · 10% owner
Exercise / conversionCommon Stock 900,000 $0.20 $180,000.00
Disclosure

SEC source: 0001437749-22-009784 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,243,345

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
December 30, 2021 Filed Apr 27, 2022 01:25 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
Exercise / conversionWarrants to purchase Common Stock · Derivative 1,137,635 $0.00 Strike: $0.20 $0.00
Disclosure

SEC source: 0001437749-22-009783 · rdgdoc.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,137,635 shares

Expires 2022-01-31

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.

F3 · price: The reported transactions relate to an amendment of the exercise price of outstanding warrants contingent upon the Reporting Person exercising the warrants. As a result, the outstanding warrants were deemed cancelled and modified warrants were issued for the same number of shares of Common Stock, but with a reduced exercise price.

Read SEC document
December 30, 2021 Filed Apr 27, 2022 01:25 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
Exercise / conversionCommon Stock 1,137,635 $0.20 $227,527.00
Disclosure

SEC source: 0001437749-22-009783 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,127,326

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
December 06, 2021 Filed Apr 27, 2022 01:26 UTC
Pittman Scott M.Director · 10% owner
OtherWarrants to purchase Common Stock · Derivative 322,635 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001437749-22-009784 · rdgdoc.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 900,000

Underlying: Common Stock · 322,635 shares

Expires 2022-01-31

F5 · kind: Transferred to third party for no consideration

Read SEC document
December 06, 2021 Filed Apr 27, 2022 01:25 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
OtherWarrants to purchase Common Stock · Derivative 160,000 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001437749-22-009783 · rdgdoc.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,137,635

Underlying: Common Stock · 160,000 shares

Expires 2022-01-31

F5 · kind: Transferred to third party for no consideration

Read SEC document
December 01, 2021 Filed Apr 26, 2022 21:28 UTC OtherWarrants to purchase Common Stock · Derivative 1,431,615 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001437749-22-009785 · rdgdoc.xml · derivative · entry 4

SHEEDY CHARLES E · CIK 0001005483 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,431,615 shares

Expires 2025-10-05

F4 · kind: Cancelled in accordance with Warrant Modification Agreement dated as of 12/01/21

F3 · price: The reported transactions relate to an amendment of the exercise price of outstanding warrants contingent upon the Reporting Person exercising the warrants. As a result, the outstanding warrants were deemed cancelled and modified warrants were issued for the same number of shares of Common Stock, but with a reduced exercise price.

Read SEC document
December 01, 2021 Filed Apr 26, 2022 21:28 UTC OtherWarrants to purchase Common Stock · Derivative 1,431,615 $0.00 Strike: $0.20 $0.00
Disclosure

SEC source: 0001437749-22-009785 · rdgdoc.xml · derivative · entry 3

SHEEDY CHARLES E · CIK 0001005483 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,431,615

Underlying: Common Stock · 1,431,615 shares

Expires 2022-01-31

F2 · kind: Acquired in accordance with Warrant Modification Agreement dated as of 12/01/21

F3 · price: The reported transactions relate to an amendment of the exercise price of outstanding warrants contingent upon the Reporting Person exercising the warrants. As a result, the outstanding warrants were deemed cancelled and modified warrants were issued for the same number of shares of Common Stock, but with a reduced exercise price.

Read SEC document
December 01, 2021 Filed Apr 27, 2022 01:26 UTC
Pittman Scott M.Director · 10% owner
Disposition to issuerWarrants to purchase Common Stock · Derivative 322,635 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001437749-22-009784 · rdgdoc.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 322,635 shares

Expires 2025-10-05

F1 · kind: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

F4 · shares: Cancelled in accordance with Warrant Modification Agreement dated as of 12/01/21

F3 · price: The reported transactions relate to an amendment of the exercise price of outstanding warrants contingent upon the Reporting Person exercising the warrants. As a result, the outstanding warrants were deemed canceled and modified warrants were issued for the same number of shares of Common Stock, but with a reduced exercise price.

Read SEC document
December 01, 2021 Filed Apr 27, 2022 01:26 UTC
Pittman Scott M.Director · 10% owner
Disposition to issuerWarrants to purchase Common Stock · Derivative 900,000 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001437749-22-009784 · rdgdoc.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 900,000 shares

Expires 2025-10-05

F1 · kind: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

F4 · shares: Cancelled in accordance with Warrant Modification Agreement dated as of 12/01/21

F3 · price: The reported transactions relate to an amendment of the exercise price of outstanding warrants contingent upon the Reporting Person exercising the warrants. As a result, the outstanding warrants were deemed canceled and modified warrants were issued for the same number of shares of Common Stock, but with a reduced exercise price.

Read SEC document
December 01, 2021 Filed Apr 27, 2022 01:26 UTC
Pittman Scott M.Director · 10% owner
GrantWarrants to purchase Common Stock · Derivative 1,222,635 $0.00 Strike: $0.20 $0.00
Disclosure

SEC source: 0001437749-22-009784 · rdgdoc.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,222,635

Underlying: Common Stock · 1,222,635 shares

Expires 2022-01-31

F1 · kind: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

F2 · shares: Acquired in accordance with Warrant Modification Agreement dated as of 12/01/21

F3 · price: The reported transactions relate to an amendment of the exercise price of outstanding warrants contingent upon the Reporting Person exercising the warrants. As a result, the outstanding warrants were deemed canceled and modified warrants were issued for the same number of shares of Common Stock, but with a reduced exercise price.

Read SEC document
December 01, 2021 Filed Apr 27, 2022 01:25 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
Disposition to issuerWarrants to purchase Common Stock · Derivative 397,635 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001437749-22-009783 · rdgdoc.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 397,635 shares

Expires 2025-10-05

F1 · kind: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

F4 · shares: Cancelled in accordance with Warrant Modification Agreement dated as of 12/01/21

F3 · price: The reported transactions relate to an amendment of the exercise price of outstanding warrants contingent upon the Reporting Person exercising the warrants. As a result, the outstanding warrants were deemed cancelled and modified warrants were issued for the same number of shares of Common Stock, but with a reduced exercise price.

Read SEC document
December 01, 2021 Filed Apr 27, 2022 01:25 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
Disposition to issuerWarrants to purchase Common Stock · Derivative 900,000 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001437749-22-009783 · rdgdoc.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 900,000 shares

Expires 2025-10-05

F1 · kind: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

F4 · shares: Cancelled in accordance with Warrant Modification Agreement dated as of 12/01/21

F3 · price: The reported transactions relate to an amendment of the exercise price of outstanding warrants contingent upon the Reporting Person exercising the warrants. As a result, the outstanding warrants were deemed cancelled and modified warrants were issued for the same number of shares of Common Stock, but with a reduced exercise price.

Read SEC document
December 01, 2021 Filed Apr 27, 2022 01:25 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
GrantWarrants to purchase Common Stock · Derivative 1,297,635 $0.00 Strike: $0.20 $0.00
Disclosure

SEC source: 0001437749-22-009783 · rdgdoc.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,297,635

Underlying: Common Stock · 1,297,635 shares

Expires 2022-01-31

F1 · kind: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

F2 · shares: Acquired in accordance with Warrant Modification Agreement dated as of 12/01/21

F3 · price: The reported transactions relate to an amendment of the exercise price of outstanding warrants contingent upon the Reporting Person exercising the warrants. As a result, the outstanding warrants were deemed cancelled and modified warrants were issued for the same number of shares of Common Stock, but with a reduced exercise price.

Read SEC document
October 05, 2020 Filed Apr 27, 2022 01:23 UTC
Pittman Scott M.Director · 10% owner
GrantWarrants to purchase Common Stock · Derivative 900,000 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001437749-22-009781 · rdgdoc.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 900,000

Underlying: Common Stock · 900,000 shares

Expires 2025-10-05

F1 · kind: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

F9 · shares: Compensation warrants acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020

Read SEC document
October 05, 2020 Filed Apr 27, 2022 01:23 UTC
Pittman Scott M.Director · 10% owner
Disposition to issuerWarrants to purchase Common Stock · Derivative 45,000 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001437749-22-009781 · rdgdoc.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 45,000 shares

Expires not disclosed

F1 · kind: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

F7 · shares: Cancelled in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020

F6 · price: The reported transactions involved a recapitalization resulting in the deemed cancellation of the "old" warrants and the deemed grant of "replacement" warrants.

F8 · derivative.exercise_date: Originally exercisable on 11/15/19 and 12/06/19, with expirations of 11/15/24 and 12/06/24, respectively, for 15,000 shares and 30,000 shares

F8 · derivative.expiration_date: Originally exercisable on 11/15/19 and 12/06/19, with expirations of 11/15/24 and 12/06/24, respectively, for 15,000 shares and 30,000 shares

Read SEC document
October 05, 2020 Filed Apr 27, 2022 01:23 UTC
Pittman Scott M.Director · 10% owner
GrantWarrants to purchase Common Stock · Derivative 322,635 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001437749-22-009781 · rdgdoc.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 322,635

Underlying: Common Stock · 322,635 shares

Expires 2025-10-05

F1 · kind: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

F5 · shares: Acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020

F6 · price: The reported transactions involved a recapitalization resulting in the deemed cancellation of the "old" warrants and the deemed grant of "replacement" warrants.

Read SEC document
October 05, 2020 Filed Apr 27, 2022 01:23 UTC
Pittman Scott M.Director · 10% owner
GrantCommon Stock 25,000 $0.40 $10,000.00
Disclosure

SEC source: 0001437749-22-009781 · rdgdoc.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,343,345

F1 · kind: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

F4 · shares: Purchase shares acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020

Read SEC document
October 05, 2020 Filed Apr 27, 2022 01:23 UTC
Pittman Scott M.Director · 10% owner
GrantCommon Stock 82,545 $0.40 $33,018.00
Disclosure

SEC source: 0001437749-22-009781 · rdgdoc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,318,345

F1 · kind: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

F3 · shares: Conversion shares acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020

Read SEC document
October 05, 2020 Filed Apr 27, 2022 01:23 UTC
Pittman Scott M.Director · 10% owner
GrantCommon Stock 300,000 $0.40 $120,000.00
Disclosure

SEC source: 0001437749-22-009781 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,235,800

F1 · kind: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

F2 · shares: Compensation shares acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020

Read SEC document
October 05, 2020 Filed Apr 26, 2022 21:24 UTC OtherWarrants to purchase Common Stock · Derivative 165,000 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001437749-22-009782 · rdgdoc.xml · derivative · entry 5

SHEEDY CHARLES E · CIK 0001005483 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 165,000 shares

Expires not disclosed

F6 · shares: Cancelled in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020

F5 · price: The reported transactions involved a recapitalization resulting in the deemed cancellation of the "old" warrants and the deemed grant of "replacement" warrants.

F7 · derivative.exercise_date: Originally exercisable on 11/15/19 and 12/06/19, with expirations of 11/15/24 and 12/06/24, respectively, for 15,000 shares and 150,000 shares

F7 · derivative.expiration_date: Originally exercisable on 11/15/19 and 12/06/19, with expirations of 11/15/24 and 12/06/24, respectively, for 15,000 shares and 150,000 shares

Read SEC document
October 05, 2020 Filed Apr 26, 2022 21:24 UTC OtherWarrants to purchase Common Stock · Derivative 1,431,615 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001437749-22-009782 · rdgdoc.xml · derivative · entry 4

SHEEDY CHARLES E · CIK 0001005483 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,431,615

Underlying: Common Stock · 1,431,615 shares

Expires 2025-10-05

F4 · shares: Acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020

F5 · price: The reported transactions involved a recapitalization resulting in the deemed cancellation of the "old" warrants and the deemed grant of "replacement" warrants.

Read SEC document
October 05, 2020 Filed Apr 26, 2022 21:24 UTC PurchaseCommon Stock 175,000 $0.40 $70,000.00
Disclosure

SEC source: 0001437749-22-009782 · rdgdoc.xml · nonDerivative · entry 2

SHEEDY CHARLES E · CIK 0001005483 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,763,517

F2 · kind: Purchase shares acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020

Read SEC document
October 05, 2020 Filed Apr 26, 2022 21:24 UTC OtherCommon Stock 302,205 $0.40 $120,882.00
Disclosure

SEC source: 0001437749-22-009782 · rdgdoc.xml · nonDerivative · entry 1

SHEEDY CHARLES E · CIK 0001005483 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,588,517

F1 · kind: Conversion shares acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020

Read SEC document
October 05, 2020 Filed Apr 27, 2022 01:22 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
GrantWarrants to purchase Common Stock · Derivative 900,000 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001437749-22-009780 · rdgdoc.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 900,000

Underlying: Common Stock · 900,000 shares

Expires 2025-10-05

F1 · kind: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

F9 · shares: Compensation warrants acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020

Read SEC document
October 05, 2020 Filed Apr 27, 2022 01:22 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
Disposition to issuerWarrants to purchase Common Stock · Derivative 45,000 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001437749-22-009780 · rdgdoc.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 45,000 shares

Expires not disclosed

F1 · kind: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

F7 · shares: Cancelled in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020

F6 · price: The reported transactions involved a recapitalization resulting in the deemed cancellation of the "old" warrants and the deemed grant of "replacement" warrants.

F8 · derivative.exercise_date: Originally exercisable on 11/15/19 and 12/06/19, with expirations of 11/15/24 and 12/06/24, respectively, for 15,000 shares and 30,000 shares

F8 · derivative.expiration_date: Originally exercisable on 11/15/19 and 12/06/19, with expirations of 11/15/24 and 12/06/24, respectively, for 15,000 shares and 30,000 shares

Read SEC document
October 05, 2020 Filed Apr 27, 2022 01:22 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
GrantWarrants to purchase Common Stock · Derivative 397,635 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001437749-22-009780 · rdgdoc.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 397,635

Underlying: Common Stock · 397,635 shares

Expires 2025-10-05

F1 · kind: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

F5 · shares: Acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020

F6 · price: The reported transactions involved a recapitalization resulting in the deemed cancellation of the "old" warrants and the deemed grant of "replacement" warrants.

Read SEC document
October 05, 2020 Filed Apr 27, 2022 01:22 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
GrantCommon Stock 50,000 $0.40 $20,000.00
Disclosure

SEC source: 0001437749-22-009780 · rdgdoc.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 989,691

F1 · kind: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

F4 · shares: Purchase shares acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020

Read SEC document
October 05, 2020 Filed Apr 27, 2022 01:22 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
GrantCommon Stock 82,545 $0.40 $33,018.00
Disclosure

SEC source: 0001437749-22-009780 · rdgdoc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 939,691

F1 · kind: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

F3 · shares: Conversion shares acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020

Read SEC document
October 05, 2020 Filed Apr 27, 2022 01:22 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
GrantCommon Stock 300,000 $0.40 $120,000.00
Disclosure

SEC source: 0001437749-22-009780 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 857,146

F1 · kind: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

F2 · shares: Compensation shares acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020

Read SEC document
December 06, 2019 Filed Apr 27, 2022 01:20 UTC
Pittman Scott M.Director · 10% owner
GrantWarrants to purchase Common Stock · Derivative 30,000 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001437749-22-009778 · rdgdoc.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 30,000 shares

Expires 2024-12-06

F1 · kind: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

F2 · shares: Acquired in connection with Note Purchase Agreement dated as of November 15, 2019

Read SEC document
December 06, 2019 Filed Apr 26, 2022 21:21 UTC PurchaseWarrants to purchase Common Stock · Derivative 150,000 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001437749-22-009779 · rdgdoc.xml · derivative · entry 2

SHEEDY CHARLES E · CIK 0001005483 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,000

Underlying: Common Stock · 150,000 shares

Expires 2024-12-06

F1 · kind: Acquired in connection with Note Purchase Agreement dated as of November 15, 2019

Read SEC document
December 06, 2019 Filed Apr 27, 2022 01:18 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
GrantWarrants to purchase Common Stock · Derivative 30,000 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001437749-22-009776 · rdgdoc.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 30,000 shares

Expires 2024-12-06

F1 · kind: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

F2 · shares: Acquired in connection with Note Purchase Agreement dated as of November 15, 2019

Read SEC document
November 15, 2019 Filed Apr 27, 2022 01:20 UTC
Pittman Scott M.Director · 10% owner
GrantWarrants to purchase Common Stock · Derivative 15,000 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001437749-22-009778 · rdgdoc.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2024-11-15

F1 · kind: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

F2 · shares: Acquired in connection with Note Purchase Agreement dated as of November 15, 2019

Read SEC document
November 15, 2019 Filed Apr 26, 2022 21:21 UTC PurchaseWarrants to purchase Common Stock · Derivative 15,000 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001437749-22-009779 · rdgdoc.xml · derivative · entry 1

SHEEDY CHARLES E · CIK 0001005483 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2024-11-15

F1 · kind: Acquired in connection with Note Purchase Agreement dated as of November 15, 2019

Read SEC document
November 15, 2019 Filed Apr 27, 2022 01:18 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
GrantWarrants to purchase Common Stock · Derivative 15,000 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001437749-22-009776 · rdgdoc.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2024-11-15

F1 · kind: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

F2 · shares: Acquired in connection with Note Purchase Agreement dated as of November 15, 2019

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January 01, 2019 Filed Jan 3, 2019 17:04 UTC
JORDEN DAVID EMERSONDirector · CEO, CFO
GrantOption to Purchase Common Stock · Derivative 125,000 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001091596-19-000005 · primary_doc.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: COMMON STOCK · 125,000 shares

Expires 2026-01-01

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December 31, 2018 Filed Jan 3, 2019 21:06 UTC GrantOption to Purchase Common Stock · Derivative 62,500 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001091596-19-000006 · primary_doc.xml · derivative · entry 1

Atinsky Lawrence · CIK 0001674477 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,500

Underlying: COMMON STOCK · 62,500 shares

Expires 2025-12-31

F1 · shares: The Reporting Person, a partner at Deerfield Management Company, L.P., has no pecuniary interest in the securities reported herein and disclaims beneficial ownership of such securities.

F1 · derivative.underlying_shares: The Reporting Person, a partner at Deerfield Management Company, L.P., has no pecuniary interest in the securities reported herein and disclaims beneficial ownership of such securities.

F1 · balance_after: The Reporting Person, a partner at Deerfield Management Company, L.P., has no pecuniary interest in the securities reported herein and disclaims beneficial ownership of such securities.

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December 31, 2018 Filed Jan 3, 2019 16:58 UTC
Mintz PaulDirector
GrantOption to Purchase Common Stock · Derivative 50,000 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001091596-19-000004 · primary_doc.xml · derivative · entry 1

Mintz Paul · CIK 0001480208 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: COMMON STOCK · 50,000 shares

Expires 2025-12-31

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December 31, 2018 Filed Jan 3, 2019 16:52 UTC GrantOption to Purchase Common Stock · Derivative 62,500 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001091596-19-000003 · primary_doc.xml · derivative · entry 1

Pittman Scott M. · CIK 0001674752 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,500

Underlying: COMMON STOCK · 62,500 shares

Expires 2025-12-31

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December 31, 2018 Filed Jan 3, 2019 16:45 UTC GrantOption to Purchase Common Stock · Derivative 81,250 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001091596-19-000002 · primary_doc.xml · derivative · entry 1

CLAUSEN PETER · CIK 0001605411 · CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,250

Underlying: COMMON STOCK · 81,250 shares

Expires 2025-12-31

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December 31, 2018 Filed Jan 3, 2019 16:29 UTC GrantOption to Purchase Common Stock · Derivative 68,750 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001091596-19-000001 · primary_doc.xml · derivative · entry 1

WINZER C ERIC · CIK 0001205362 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,750

Underlying: COMMON STOCK · 68,750 shares

Expires 2015-12-31

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December 31, 2018 Filed Nov 19, 2024 22:51 UTC
Pittman Scott M.Director · 10% owner
Exercise / conversionOption to Purchase Common Stock · Derivative 62,500 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001437749-24-035771 · 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 · 62,500 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 31, 2018 Filed Dec 12, 2025 02:55 UTC Amendment
Mintz PaulDirector
Exercise / conversionOption to purchase common stock · Derivative 50,000 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001437749-25-037614 · rdgdoc.xml · derivative · entry 3

Mintz Paul · CIK 0001480208 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 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 31, 2018 Filed Dec 11, 2025 23:51 UTC
Mintz PaulDirector
Exercise / conversionOption to purchase common stock · Derivative 50,000 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001437749-25-037591 · rdgdoc.xml · derivative · entry 3

Mintz Paul · CIK 0001480208 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 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.

Read SEC document
December 31, 2018 Filed Jan 6, 2026 00:25 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
Exercise / conversionOption to purchase common stock · Derivative 125,000 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001437749-26-000431 · 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 · 125,000 shares

Expires 2026-01-01

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
August 09, 2018 Filed Aug 13, 2018 20:20 UTC
Pittman Scott M.Director · 10% owner
GrantOption to Purchase Common Stock · Derivative 121,875 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001605411-18-000005 · primary_doc.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,875

Underlying: COMMON STOCK · 121,875 shares

Expires 2025-08-09

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August 09, 2018 Filed Aug 13, 2018 20:10 UTC GrantOption to Purchase Common Stock · Derivative 109,375 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001605411-18-000004 · primary_doc.xml · derivative · entry 1

Atinsky Lawrence · CIK 0001674477 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,375

Underlying: COMMON STOCK · 109,375 shares

Expires 2025-08-09

F1 · shares: 1) The Reporting Person, a partner at Deerfield Management Company, L.P., has no pecuniary interest in the securities reported herein and disclaims beneficial ownership of such securities.

F1 · derivative.underlying_shares: 1) The Reporting Person, a partner at Deerfield Management Company, L.P., has no pecuniary interest in the securities reported herein and disclaims beneficial ownership of such securities.

F1 · balance_after: 1) The Reporting Person, a partner at Deerfield Management Company, L.P., has no pecuniary interest in the securities reported herein and disclaims beneficial ownership of such securities.

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August 09, 2018 Filed Aug 13, 2018 20:00 UTC
JORDEN DAVID EMERSONDirector · CEO, CFO
GrantOption to Purchase Common Stock · Derivative 192,710 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001605411-18-000003 · primary_doc.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 192,710

Underlying: COMMON STOCK · 192,710 shares

Expires 2025-08-09

Read SEC document
August 09, 2018 Filed Aug 13, 2018 19:53 UTC GrantOption to Purchase Common Stock · Derivative 120,313 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001605411-18-000002 · primary_doc.xml · derivative · entry 1

WINZER C ERIC · CIK 0001205362 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,313

Underlying: COMMON STOCK · 120,313 shares

Expires 2025-08-09

Read SEC document
August 09, 2018 Filed Aug 13, 2018 19:44 UTC GrantOption to Purchase Common Stock · Derivative 183,853 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001605411-18-000001 · primary_doc.xml · derivative · entry 1

CLAUSEN PETER · CIK 0001605411 · CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 183,853

Underlying: COMMON STOCK · 183,853 shares

Expires 2025-08-09

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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.