AURX

SEC source: 0001480208-18-000001 · primary_doc.xml · derivative · entry 1

Mintz Paul · CIK 0001480208 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,500

Underlying: COMMON STOCK · 87,500 shares

Expires 2025-08-08

SEC source: 0001437749-24-035771 · 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 · 121,875 shares

Expires 2025-08-09

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.

SEC source: 0001437749-25-024508 · 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 · 120,313 shares

Expires 2025-08-08

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.

SEC source: 0001437749-25-024505 · 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 · 120,313 shares

Expires 2025-08-08

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.

SEC source: 0001437749-25-024499 · 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 · 87,500 shares

Expires 2025-08-08

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.

SEC source: 0001437749-25-024493 · rdgdoc.xml · derivative · entry 3

CLAUSEN PETER · CIK 0001605411 · CSO/COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 183,853 shares

Expires 2025-08-08

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.

SEC source: 0001437749-25-024497 · rdgdoc.xml · derivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 192,710 shares

Expires 2025-08-08

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.

SEC source: 0001683168-17-002435 · boyalife_frm4.xml · nonDerivative · entry 1

Boyalife Investment Fund I, Inc. · CIK 0001683332 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,900,000

SEC source: 0000899243-17-020218 · doc4.xml · nonDerivative · entry 1

SHEEDY CHARLES E · CIK 0001005483 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,286,312

SEC source: 0001674752-17-000002 · primary_doc.xml · nonDerivative · entry 1

JORDEN DAVID EMERSON · CIK 0001313516 · Director · CEO, CFO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 557,146

F1 · ownership.direct: Includes shares held jointly with spouse and shares held in IRA.

SEC source: 0001674752-17-000001 · primary_doc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,935,800

F1 · ownership.direct: Includes shares held in an IRA.

SEC source: 0001674752-17-000001 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,375,800

F1 · ownership.direct: Includes shares held in an IRA.

SEC source: 0001480208-17-000004 · primary_doc.xml · derivative · entry 1

Mintz Paul · CIK 0001480208 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,750

Underlying: Common Stock · 18,750 shares

Expires 2027-05-10

SEC source: 0001144204-17-001883 · v456666_4.xml · derivative · entry 1

CLAUSEN PETER · CIK 0001605411 · CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2026-07-01

F1 · date: 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 95,000 shares subject to performance conditions, which have not yet vested and are therefore not yet reportable on Form 4.

F2 · derivative.exercise_date: Of these options, 40,000 vested on 9/29/16 and 40,000 will vest on 12/31/17.

SEC source: 0001144204-17-001882 · v456665_4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,500

Underlying: Common Stock · 162,500 shares

Expires 2026-07-01

F1 · date: 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.

F2 · derivative.exercise_date: Of these options, 62,500 vested immediately, and 50,000 each will vest on 3/31/17 and 12/31/17.

SEC source: 0001144204-17-001881 · v456639_4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2026-07-01

F1 · date: 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.

F2 · derivative.exercise_date: Of these options, 15,000 vested immediately, and 25,000 vested on 1/1/17.

SEC source: 0001144204-17-001880 · v456638_4.xml · derivative · entry 1

Atinsky Lawrence · CIK 0001674477 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2026-07-01

F1 · date: 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.

F3 · shares: The Reporting Person, a partner in Deerfield Management Company, L.P., has no pecuniary interest in the securities reported herein and disclaims beneficial ownership of such securities.

F2 · derivative.exercise_date: Of these options, 15,000 vested immediately, and 25,000 vested on 1/1/17.

SEC source: 0001144204-17-001878 · v456634_4.xml · derivative · entry 1

WINZER C ERIC · CIK 0001205362 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2026-07-01

F1 · date: 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.

F2 · derivative.exercise_date: Of these options, 15,000 vested immediately, and 25,000 vested on 1/1/17.

SEC source: 0001144204-17-001879 · v456636_4.xml · derivative · entry 1

DEL GUERCIO JOSEPH · CIK 0001542363 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2026-07-01

F1 · date: 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.

F2 · derivative.exercise_date: Of these options, 15,000 vested immediately, and 25,000 vested on 1/1/17.

SEC source: 0001144204-16-127402 · v450247_4.xml · nonDerivative · entry 1

DEL GUERCIO JOSEPH · CIK 0001542363 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 305,160

F1 · date: The shares of Common Stock, par value $0.0001 per share (the "New Shares"), of Nuo Therapeutics, Inc. (the "Issuer") were issued to Aldagen Holdings, LLC ("Aldagen") as of May 5, 2016 pursuant to the Issuer's plan of reorganization (the "Plan of Reorganization") in exchange for equity interests of the Issuer held by Aldagen on the record date under the Plan of Reorganization (the "Old Common Stock"), then distributed to CNF Investments II, LLC ("CNF"), a member of Aldagen, on September 30, 2016 as part of a pro-rata distribution to Aldagen's members in accordance with Aldagen's operating agreement.

F1 · kind: The shares of Common Stock, par value $0.0001 per share (the "New Shares"), of Nuo Therapeutics, Inc. (the "Issuer") were issued to Aldagen Holdings, LLC ("Aldagen") as of May 5, 2016 pursuant to the Issuer's plan of reorganization (the "Plan of Reorganization") in exchange for equity interests of the Issuer held by Aldagen on the record date under the Plan of Reorganization (the "Old Common Stock"), then distributed to CNF Investments II, LLC ("CNF"), a member of Aldagen, on September 30, 2016 as part of a pro-rata distribution to Aldagen's members in accordance with Aldagen's operating agreement.

F2 · price: Under the Plan of Reorganization, Aldagen received one New Share for every 41.89 shares of Old Common Stock held by it on the record date. No consideration was paid for the subsequent distribution by Aldagen to its members.

F3 · ownership.nature: All shares are owned directly by CNF. The individual managing members (collectively, the "CNF Member Managers") of CNF are Joseph Del Guercio and Robert J. Flanagan. CNF and the CNF Member Managers may share voting and dispositive power over the shares directly held by CNF. Mr. Del Guercio is Managing Director of CNF. He disclaims beneficial ownership of such 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.