Nuo Therapeutics director acquires 4,500-share warrant

The 458-share prepayment warrant is conditional: it vests, if at all, upon a Prepayment, no later than December 31, 2027.

Rhea-AI Filing Summary

Nuo Therapeutics, Inc. (AURX) director and 10% owner Scott M. Pittman acquired warrants on October 6, 2026, covering 4,500 shares of common stock and a Prepayment Restated Warrant covering a maximum of 458 shares. Both warrants have an exercise price of $1.50 per share and expire January 23, 2031.

The 4,500-share warrant was issued in connection with the assumption of a portion of an assigned funding commitment. The 458-share warrant represents the maximum shares issuable, if at all, in the event of a Prepayment; it vests, if at all, upon a Prepayment, no later than December 31, 2027.

Insider Trade Summary

Grant/Award: 4,958 shares

Grant/Award 2 txns

Insider Pittman Scott M.

Role Director, 10% Owner

Type	Security	Shares	Price	Value
Grant/Award	Second Restated Warrant (right to buy) F1	4,500	$1.50	$7K
Grant/Award	Prepayment Restated Warrant (right to buy) F2, F3	458	$1.50	$687.00

Holdings After Transaction: Second Restated Warrant (right to buy) — 4,500 contracts (Direct); Prepayment Restated Warrant (right to buy) — 458 contracts (Direct)

Footnotes (3)

1. 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.
2. 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.
3. F3. Vesting (if at all) upon the occurrence of a Prepayment, but no later than December 31, 2027, in accordance with the Loan Agreement.

Key Figures

Common shares underlying Second Restated Warrant: 4,500 shares Maximum shares issuable under Prepayment Restated Warrant: 458 shares Exercise price: $1.50 per share +2 more

5 metrics

Common shares underlying Second Restated Warrant 4,500 shares Warrant acquired October 6, 2026

Maximum shares issuable under Prepayment Restated Warrant 458 shares Issuable, if at all, in the event of a Prepayment

Exercise price $1.50 per share Both warrants

Warrant expiration date January 23, 2031 Both warrants

Prepayment warrant vesting deadline December 31, 2027 Vesting, if at all, upon a Prepayment

Key Terms

Prepayment Restated Warrant, assigned funding commitment, vesting

3 terms

Prepayment Restated Warrant financial

"Prepayment Restated Warrant (right to buy)"

assigned funding commitment financial

"assumption of a portion of an assigned funding commitment"

vesting financial

"Vesting (if at all) upon the occurrence of a Prepayment"

Vesting is the process by which you earn full ownership of something, like company stock or a retirement benefit, over time. It’s like earning the right to keep a gift piece by piece the longer you stay with a company, making sure employees stay committed before they receive all the benefits.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

How many warrant shares did AURX director Scott M. Pittman acquire?

On October 6, 2026, Scott M. Pittman acquired warrants covering 4,500 shares of common stock and a Prepayment Restated Warrant covering a maximum of 458 shares.

What are the terms of Scott M. Pittman's AURX prepayment warrant?

The Prepayment Restated Warrant covers a maximum of 458 shares, has an exercise price of $1.50 per share, and expires January 23, 2031. It vests, if at all, upon a Prepayment, no later than December 31, 2027.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 10/06/2026 - 06:12 PM Accepted by SEC EDGAR 10/06/2026 - 06:11 PM Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Pittman Scott M.

(Last) (First) (Middle)

C/O NUO THERAPEUTICS, INC.

8285 EL RIO, SUITE190

(Street)

HOUSTON TEXAS 77054

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Nuo Therapeutics, Inc. [ AURX ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	X	10% Owner
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
10/06/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Second Restated Warrant (right to buy)(1)	$1.5	10/06/2026		A		4,500		10/06/2026	01/23/2031	Common Stock	4,500	$1.5	4,500	D
Prepayment Restated Warrant (right to buy)(2)	$1.5	10/06/2026		A		458		10/06/2026(3)	01/23/2031	Common Stock	458	$1.5	458	D

Explanation of Responses:

1. 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.

2. 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.

3. Vesting (if at all) upon the occurrence of a Prepayment, but no later than December 31, 2027, in accordance with the Loan Agreement.

	/s/ David Jorden, attorney-in-fact	10/06/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)