0001144204-16-127402.txt : 20161007
0001144204-16-127402.hdr.sgml : 20161007
20161007164808
ACCESSION NUMBER: 0001144204-16-127402
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160505
FILED AS OF DATE: 20161007
DATE AS OF CHANGE: 20161007
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Nuo Therapeutics, Inc.
CENTRAL INDEX KEY: 0001091596
STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841]
IRS NUMBER: 232958959
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 207A PERRY PARKWAY,
STREET 2: SUITE 1
CITY: GAITHERSBURG,
STATE: MD
ZIP: 20877
BUSINESS PHONE: 240-499-2680
MAIL ADDRESS:
STREET 1: 207A PERRY PARKWAY,
STREET 2: SUITE 1
CITY: GAITHERSBURG,
STATE: MD
ZIP: 20877
FORMER COMPANY:
FORMER CONFORMED NAME: Nuo Therapeutics, Inc
DATE OF NAME CHANGE: 20141112
FORMER COMPANY:
FORMER CONFORMED NAME: CYTOMEDIX INC
DATE OF NAME CHANGE: 20000511
FORMER COMPANY:
FORMER CONFORMED NAME: AUTOLOGOUS WOUND THERAPY INC
DATE OF NAME CHANGE: 20000407
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: DEL GUERCIO JOSEPH
CENTRAL INDEX KEY: 0001542363
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32518
FILM NUMBER: 161928431
MAIL ADDRESS:
STREET 1: C/O CLARK INVESTMENTS
STREET 2: 7500 OLD GEORGETOWN ROAD, SUITE 620
CITY: BETHESDA
STATE: MD
ZIP: 20814
4
1
v450247_4.xml
OWNERSHIP DOCUMENT
X0306
4
2016-05-05
0
0001091596
Nuo Therapeutics, Inc.
NONE
0001542363
DEL GUERCIO JOSEPH
C/O CNF INVESTMENTS
7500 OLD GEORGETOWN ROAD, SUITE 620
BETHESDA
MD
20814
1
0
0
0
Common Stock, par value $0.0001 per share
2016-05-05
4
J
0
27859
A
305160
I
See Footnote
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.
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.
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.
/s/ Joseph Del Guercio
2016-10-07