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