Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Nuo Therapeutics, Inc.AURX · Entity 7149 | Director · 10% owner | October 06, 2026 | October 06, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Nuo Therapeutics, Inc.
Report date October 06, 2026 · Filed October 06, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Second Restated Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.50 · Expires 2031-01-23 | Direct | 4,500 |
Reported balance
After 2026-10-06 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-10-06 · Grant · Acquired 4,500 · Balance 4,500 F1: 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. |
| Prepayment Restated Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.50 · Expires 2031-01-23 | Direct | 458 |
Reported balance
After 2026-10-06 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-10-06 · Grant · Acquired 458 · Balance 458 F2: 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: Vesting (if at all) upon the occurrence of a Prepayment, but no later than December 31, 2027, in accordance with the Loan Agreement. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: 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: Vesting (if at all) upon the occurrence of a Prepayment, but no later than December 31, 2027, in accordance with the Loan Agreement.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 10, 2017 Filed Aug 14, 2017 19:26 UTC | Nuo Therapeutics, Inc. AURX · Entity 7149 | PurchaseCOMMON STOCK | 560,000 | $0.50 | $280,000.00 |
DisclosureSEC 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. Read SEC document |
| August 10, 2017 Filed Aug 14, 2017 19:26 UTC | Nuo Therapeutics, Inc. AURX · Entity 7149 | PurchaseCOMMON STOCK | 1,485,000 | $0.22 | $329,967.00 |
DisclosureSEC 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. Read SEC document |
| January 09, 2017 Filed Jan 12, 2017 01:18 UTC | Nuo Therapeutics, Inc. NONE · Entity 7149 | GrantOption to purchase Common Stock · Derivative | 40,000 | $0.00 Strike: $1.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.