Welcome to our dedicated page for Nuo Therapeutics SEC filings (Ticker: AURX), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Nuo Therapeutics, Inc. filings document a commercial-stage medical-device issuer focused on Aurix, its autologous platelet-rich plasma system for chronic wound management. The company’s regulatory record includes Current Reports on Form 8-K for material events, material agreements, capital-structure disclosures, governance matters, operating and financial results, and security-structure updates.
Proxy and annual-meeting filings describe board elections, auditor ratification, advisory executive-compensation votes, shareholder proposal procedures, and voting results. These disclosures also cover compensation arrangements, board and committee actions, common-stock matters, and public-company governance tied to commercialization of the Aurix System.
Nuo Therapeutics, Inc. reported that CSO/COO Peter Clausen received a grant of options to purchase 65,000 shares of common stock. The options have an exercise price of $1.01 per share and expire on June 29, 2036.
According to the disclosure, one third of these options become exercisable as of June 30, 2027, with the remaining balance vesting quarterly over the following two years. After this grant, Clausen holds options for 65,000 underlying shares directly, reflecting a compensation-related award rather than an open-market trade.
Nuo Therapeutics, Inc. director and CEO/CFO David Emerson reported a net stock option exercise and related tax withholding. On June 30, 2026, he exercised options to acquire 162,500 shares of common stock at $1.00 per share. According to the footnotes, the issuer withheld 160,892 shares at a closing price of $1.01 to cover the exercise cost, and Emerson received 1,608 net shares of common stock. Following these transactions, his direct common stock holdings increased to 2,222,119 shares. In a separate derivative transaction on June 29, 2026, he was granted an option to purchase 125,000 shares of common stock at an exercise price of $1.01 per share, with one third exercisable as of June 30, 2027 and the remainder vesting quarterly over the subsequent two years.
Nuo Therapeutics director and 10% owner Scott M. Pittman reported a compensation-related option exercise and new option grant. He exercised options for 40,000 shares of common stock at $1.00 per share. In a net share settlement, the issuer withheld 39,604 shares at a closing price of $1.01 to cover the exercise cost, and Pittman received 396 net shares.
After the transactions, he directly owns 5,440,000 shares of common stock. He also received a new grant of options for 30,000 shares with an exercise price of $1.01 per share that fully vest as of June 30, 2027 and expire on June 29, 2036. These actions reflect routine equity compensation and tax withholding rather than open-market trading.
Nuo Therapeutics director C. Eric Winzer reported routine equity compensation transactions. On June 30, he exercised stock options for 40,000 shares of common stock at $1.00 per share. The issuer withheld 39,604 shares at the closing price of $1.01 to cover the exercise cost, leaving him with 396 newly issued shares.
Following these transactions, Winzer directly held 212,654 shares of common stock. He also received a new option grant on June 29 for 30,000 shares of common stock at an exercise price of $1.01 per share, vesting fully by June 30, 2027 and expiring on June 29, 2036.
Nuo Therapeutics director Paul Mintz received a stock option grant that increases his potential equity stake. On June 29, 2026, he was awarded options to purchase 30,000 shares of common stock at an exercise price of $1.01 per share. These options fully vest as of June 30, 2027 and expire on June 29, 2036, leaving him with 30,000 derivative securities following the award.
Nuo Therapeutics, Inc. director and CEO/CFO David Emerson Jorden reported acquiring 13,245 shares of Common Stock in a grant or award transaction at a weighted average price of $1.0952 per share. Following this award, he directly holds 2,085,000 shares. A footnote explains the reported price is a weighted average based on multiple transactions with individual share prices ranging from $1.042 to $1.15.
Nuo Therapeutics investor Scott M. Pittman updated his ownership and financing arrangements with the company. He now beneficially owns 5,627,500 shares of common stock, or 11.6% of the class, based on 48,408,728 shares outstanding as of May 29, 2026.
Pittman participated as a lender under a Loan and Security Agreement and an Amended and Restated Loan and Security Agreement, providing a $200,000 initial loan and a $100,000 interim loan, with an additional $100,000 commitment for a potential second closing. The secured notes bear 12% annual interest through December 31, 2028, with interest and certain prepayment fees payable in warrants rather than cash.
In connection with these loans, he received multiple series of warrants with a $1.50 per share exercise price, including Initial Warrants for 30,050 shares, Interim Warrants for 17,450 shares, Second Restated Warrants for 17,500 shares, Prepayment Restated Warrants for up to 7,333 shares, and an Interest Warrant issuable for up to 59,333 shares at maturity or earlier prepayment.
Nuo Therapeutics, Inc. director and 10% owner Scott M. Pittman reported several warrant-related transactions tied to a loan agreement. He received new Prepayment Restated, Second Restated, and Interim Warrants, each exercisable at $1.50 per share of common stock.
The filing shows cancellation of previously issued Second and Prepayment Warrants in exchange for the new restated warrants on similar terms under an Amended and Restated Loan and Security Agreement dated May 29, 2026. After these moves, he directly holds Interim Warrants for 17,450 underlying shares, with additional restated and prepayment warrants vesting only if specified funding or prepayment events occur.
Nuo Therapeutics, Inc. director and 10% owner Scott M. Pittman reported amended details for derivative awards linked to a loan arrangement. On January 23, 2026, he was granted three warrant instruments, each giving the right to buy Common Stock at an exercise price of $1.50 per share and expiring on January 23, 2031.
An integrated Initial Warrant covers 30,050 underlying shares and is immediately exercisable. A Second Warrant covers 36,750 shares and will vest, if at all, on September 30, 2026 if a Second Funding occurs under a Loan and Security Agreement dated January 21, 2026. A Prepayment Warrant covers up to 7,516 shares, vesting only upon a qualifying prepayment, but no later than December 31, 2028, under the same agreement.
The amendment primarily corrects the naming and description of the integrated Initial and Second Warrants while confirming the maximum share amounts and contingent vesting terms tied to the loan agreement.
Nuo Therapeutics entered into an Amended and Restated Loan and Security Agreement providing up to $2.0 million in secured debt funding from five lenders. This includes $1,000,000 funded in January 2026, $675,000 funded on May 29, 2026, and up to $325,000 available on September 30, 2026, subject to conditions.
The notes bear 12% annual interest, payable in stock warrants rather than cash, and mature on December 31, 2028. Principal is interest-only through 2026 and then repaid quarterly in cash starting March 31, 2027. The debt is secured by liens on all company assets, including intellectual property, and must be prepaid upon certain equity financings, changes in control, or default, with prepayment fees paid in additional warrants.
In connection with the May 29 interim funding, Nuo issued multiple classes of warrants at a $1.50 exercise price, immediately exercisable for 120,125 shares, with additional tranches tied to potential second funding, prepayments, and accrued interest. Maximum Interest Warrants cover up to 303,667 shares for full utilization and repayment of the $2.0 million facility. Related-party lenders, including board member Scott Pittman and large shareholder Paul Jacobs, participated in both the loans and warrant issuances.