AURX / Nuo Therapeutics, Inc. - Pengajuan SECLaporan Tahunan, Pernyataan Proksi

Amendment No. 1 to Distribution Agreement between Smith & Nephew, Inc. and Nuo Therapeutics, Inc. dated May 14, 2025#

Exhibit 10.1 [****] = Certain confidential information contained in this document, marked by brackets, has been omitted because the information is not material and is the type of information that the registrant treats as private or confidential AMENDMENT NO. 1 TO DISTRIBUTION AGREEMENT The parties named below agree as follows: This Amendment Number 1 (Amendment) to Distribution Agreement with an E

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000

Securities Purchase Agreement dated July 25, 2025

Exhibit 10.2 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement, dated on and as of July 25, 2025, (this “Agreement”), is made by and among Nuo Therapeutics, Inc., a Delaware corporation (the “Company”), and the undersigned purchasers (each a “Purchaser” and collectively, the “Purchasers”) and each assignee of a Purchaser who becomes a party hereto. WHEREAS, subject to the terms and

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 14, 2025 Nuo Therapeutics, In

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 14, 2025 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 000-28443 23-3011702 (State or Other Jurisdiction (Commission (IRS Employer of Incorpor

Filing Fee Table*

Exhibit 107 Calculation of Filing Fee Tables FORM S-3 (Form Type) Nuo Therapeutics, Inc.

As filed with the Securities and Exchange Commission on May 9, 2025

Table of Contents As filed with the Securities and Exchange Commission on May 9, 2025 Registration No.

May 9, 2025

8285 El Rio, Suite 190 Houston, TX 77054 Phone 346.396.4770 May 9, 2025 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, D.C. 20549 Attn: Jane Park Re: Request for Acceleration of Effectiveness of Registration Statement on Form S-3 as amended (File No. 333-286912) Ladies and Gentlemen, Pursuant to Rule 461 under the Securities

Filing Fee Table*

Exhibit 107 Calculation of Filing Fee Tables FORM S-3 (Form Type) Nuo Therapeutics, Inc.

As filed with the Securities and Exchange Commission on May 1, 2025

Table of Contents As filed with the Securities and Exchange Commission on May 1, 2025 Registration No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 00

As filed with the Securities and Exchange Commission on April 10, 2025

As filed with the Securities and Exchange Commission on April 10, 2025 Registration No.

Filing Fee Table*

Exhibit 107 Calculation of Filing Fee Tables FORM S-8 (Form Type) Nuo Therapeutics, Inc.

Description of securities registered pursuant to Section 12 of the Securities Exchange Act of 1934 (filed on April 1, 2025 as Exhibit 4.1 to the registrant’s Annual Report on Form 10-K and incorporated by reference herein)

Exhibit 4.1 Description of securities registered pursuant to Section 12 of the Securities Exchange Act of 1934 Nuo Therapeutics, Inc. (“we,” “our,” “us” or the “Company”) has one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”): common stock, $0.0001 par value per share (“Common Stock”). Pursuant to the Second Amended and Resta

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC File Number: 000-28443 CUSIP Number: 67059V209 ☒Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: December 31, 2024 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Repo

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-284

Nuo Therapeutics, Inc. Insider Trading Policy

Exhibit 19.1 NUO THERAPEUTICS, INC. INSIDER TRADING POLICY Purpose This Insider Trading Policy (the “Policy”) provides guidelines with respect to transactions in the securities of Nuo Therapeutics, Inc. (the “Company”) and the handling of confidential information about the Company and the companies with which the Company engages in transactions or does business. The Company’s Board of Directors ha

Distribution Agreement between Smith & Nephew, Inc. and Nuo Therapeutics, Inc. dated March 31, 2025

Exhibit 10.1 [****] = Certain confidential information contained in this document, marked by brackets, has been omitted because the information is not material and is the type of information that the registrant treats as private or confidential DISTRIBUTION AGREEMENT Supplier wishes to appoint S+N and S+N wishes to be appointed as the Supplier’s exclusive distributor for the promotion and sale of

AURX / Nuo Therapeutics, Inc. / Flynn James E Passive Investment

SC 13G/A 1 e664015sc13ga-nti.htm SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 2) * Nuo Therapeutics, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 67059V209 (CUSIP Number) September 30,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file numbe

AURX / Nuo Therapeutics, Inc. / Jacobs Paul Anthony - SCHEDULE 13G/A Passive Investment

SC 13G/A 1 jaco20241022sc13ga.htm SCHEDULE 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* NUO THERAPEUTICS, INC. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 67059V209 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this S

Securities Purchase Agreement

Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement, dated on and as of September 13, 2024, (this “Agreement”), is made by and among Nuo Therapeutics, Inc., a Delaware corporation (the “Company”), and the undersigned purchasers (each a “Purchaser” and collectively, the “Purchasers”) and each assignee of a Purchaser who becomes a party hereto. WHEREAS, subject to the terms

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 18, 2024 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 000-28443 23-3011702 (State or Other Jurisdiction (Commission (IRS Employer of In

Change in Control Agreement between Peter Clausen and Nuo Therapeutics, Inc. dated August 9, 2024

Exhibit 10.3 CHANGE IN CONTROL AGREEMENT This Change in Control Agreement (“Agreement”) effective as of August 9, 2024 (the “Effective Date”) is by and between Nuo Therapeutics, Inc., a Delaware corporation (the “Company”), and Peter Clausen (the “Employee”). WHEREAS, the Employee presently serves at the pleasure of the Board of Directors of the Company (the “Board”) as the Chief Scientific and Ch

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000

Change in Control Agreement between David Jorden and Nuo Therapeutics, Inc. dated August 9, 2024

Exhibit 10.2 CHANGE IN CONTROL AGREEMENT This Change in Control Agreement (“Agreement”) effective as of August 9, 2024 (the “Effective Date”) is by and between Nuo Therapeutics, Inc., a Delaware corporation (the “Company”), and David Jorden (the “Employee”). WHEREAS, the Employee presently serves at the pleasure of the Board of Directors of the Company (the “Board”) as the Chief Executive and Chie

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 27, 2024 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 000-28443 23-3011702 (State or Other Jurisdiction (Commission (IRS Employer of Incorpo

Letter from Marcum LLP to Securities and Exchange Commission dated June 11, 2024.

Exhibit 16.1 June 11, 2024 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We have read the statements made by Nuo Therapeutics, Inc. under Item 4.01 of its Form 8-K dated June 7, 2024. We agree with the statements concerning our Firm in such Form 8-K; we are not in a position to agree or disagree with other statements of Nuo Therapeutics, Inc. contained t

Changes in Registrant's Certifying Accountant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 7, 2024 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 000-28443 23-3011702 (State or Other Jurisdiction (Commission (IRS Employer of Incorpor

Securities Purchase Agreement

Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement, dated on and as of May 10, 2024, (this “Agreement”), is made by and among Nuo Therapeutics, Inc., a Delaware corporation (the “Company”), and the undersigned purchasers (each a “Purchaser” and collectively, the “Purchasers”) and each assignee of a Purchaser who becomes a party hereto. WHEREAS, subject to the terms and c

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 17, 2024 Nuo Therapeutics, In

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 17, 2024 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 000-28443 23-3011702 (State or Other Jurisdiction (Commission (IRS Employer of Incorpor

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 00

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-284

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 16, 2024 Nuo Therapeutics,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 16, 2024 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 000-28443 23-3011702 (State or Other Jurisdiction (Commission (IRS Employer of Incorp

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC File Number: 000-28443 CUSIP Number: 67059V209 ☒Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: December 31, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Repo

AURX / Nuo Therapeutics, Inc. / Jacobs Paul Anthony - SCHEDULE 13G Passive Investment

SC 13G 1 jaco20240213sc13g.htm SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* NUO THERAPEUTICS, INC. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 67059V209 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement)

AURX / Nuo Therapeutics, Inc. / Flynn James E Passive Investment

SC 13G/A 1 e619264sc13ga-nti.htm SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 1) * Nuo Therapeutics, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 67059V209 (CUSIP Number) December 31,

AURX / Nuo Therapeutics, Inc. / Pittman Scott M. - SCHEDULE 13D/A Activist Investment

SC 13D/A 1 pittman20231220sc13da.htm SCHEDULE 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 2 to SCHEDULE 13D Under the Securities Exchange Act of 1934 NUO THERAPEUTICS, INC. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 67059V209 (CUSIP Number) Scott M. Pittman c/o Nuo Therapeutics, Inc. 8285 El Rio, Suite 1

Securities Purchase Agreement

Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement, dated on and as of December 8, 2023, (this “Agreement”), is made by and among Nuo Therapeutics, Inc., a Delaware corporation (the “Company”), and the undersigned purchasers (each a “Purchaser” and collectively, the “Purchasers”) and each assignee of a Purchaser who becomes a party hereto. WHEREAS, subject to the terms a

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 18, 2023 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 000-28443 23-3011702 (State or Other Jurisdiction (Commission (IRS Employer of Inc

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file numbe

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC File Number: 000-28443 CUSIP Number: 67059V209 [ ] Form 10-K [ ] Form 20-F [ ] Form 11-K [X] Form 10-Q [ ] Form 10-D [ ] Form N-SAR [ ] Form N-CSR For Period Ended: September 30, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000

Securities Purchase Agreement

Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement, dated on and as of July 26, 2023, (this “Agreement”), is made by and among Nuo Therapeutics, Inc., a Delaware corporation (the “Company”), and the undersigned purchasers (each a “Purchaser” and collectively, the “Purchasers”) and each assignee of a Purchaser who becomes a party hereto. WHEREAS, subject to the terms and

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 1, 2023 Nuo Therapeutics,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 1, 2023 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 000-28443 23-3011702 (State or Other Jurisdiction (Commission (IRS Employer of Incorp

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 00

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 FORM 10-K/A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 to FORM 10-K/A (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-

Form of Option Award under the 2016 Omnibus Incentive Compensation Plan, as amended and restated (previously filed on April 17, 2023 as Exhibit 10.5 to the registrant’s Annual Report on Form 10-K and incorporated by reference herein)*

Exhibit 10.5 Option Recipient: [ ] Total Number of Shares Covered by the Option: [ ] NUO THERAPEUTICS, INC. [NONQUALIFIED] [INCENTIVE] STOCK OPTION AWARD AGREEMENT Nuo Therapeutics, Inc., a Delaware corporation (the “Company”), is pleased to grant to the Eligible Person signing below (“you” or “Grantee”) the stock option (the “Option”) described herein under the Nuo Therapeutics, Inc. 2016 Omnibus

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-284

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC File Number: 000-28443 CUSIP Number: 67059V209 ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: December 31, 2022 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Rep

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 2, 2022 Nuo Therapeutics, Inc. (Exact name of Registrant as specified in its charter) Delaware 000-28443 23-3011702 (State or other jurisdiction (Commission (IRS Employer of

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file numbe

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file numbe

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as Permitted by Rule 14a-6(e)(2)) ☐ Definitive

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as Permitted by Rule 14a-6(e

Other Events, Shareholder Director Nominations

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 29, 2022 Nuo Therapeutics, Inc. (Exact name of Registrant as specified in its charter) Delaware 000-28443 23-3011702 (State or other jurisdiction (Commission (IRS Employer o

NUO THERAPEUTICS PROVIDES CORPORATE AND BUSINESS UPDATE Broad equity incentive agreement established with Pacific Medical, Inc. including initial equity purchase Favorable initial progress on establishing substantive distribution network in support o

Exhibit 99.1 8285 El Rio, Suite 190 Houston, TX 77054 Phone 833.298.6633 NUO THERAPEUTICS PROVIDES CORPORATE AND BUSINESS UPDATE Broad equity incentive agreement established with Pacific Medical, Inc. including initial equity purchase Favorable initial progress on establishing substantive distribution network in support of commercial goals for Aurix Foundational Aurix product is well positioned wi

First Warrant issued September 12, 2022 (previously filed on August 30, 2022 as Exhibit 4.1 to the registrant’s Current Report on Form 8-K and incorporated by reference herein)

Exhibit 4.1 NEITHER THIS SECURITY NOR THE SECURITIES AS TO WHICH THIS SECURITY MAY BE EXERCISED HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REG

Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 24, 2022 Nuo Therapeutics, Inc. (Exact name of Registrant as specified in its charter) Delaware 000-28443 23-3011702 (State or other jurisdiction (Commission (IRS Employer of i

Form of Contingent Warrant (previously filed on August 30, 2022 as Exhibit 4.3 to the registrant’s Current Report on Form 8-K and incorporated by reference herein)

Exhibit 4.3 NEITHER THIS SECURITY NOR THE SECURITIES AS TO WHICH THIS SECURITY MAY BE EXERCISED HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REG

Second Warrant issued September 12, 2022 (previously filed on August 30, 2022 as Exhibit 4.2 to the registrant’s Current Report on Form 8-K and incorporated by reference herein)

Exhibit 4.2 NEITHER THIS SECURITY NOR THE SECURITIES AS TO WHICH THIS SECURITY MAY BE EXERCISED HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REG

Common Stock and Warrant Purchase Agreement between the Registrant and Pacific Medical, Inc., dated August 24, 2022 (previously filed on August 30, 2022 as Exhibit 10.1 to the registrant’s Current Report on Form 8-K and incorporated by reference herein)

Exhibit 10.1 COMMON STOCK AND WARRANT PURCHASE AGREEMENT This Common Stock and Warrant Purchase Agreement, dated on and as of August 24, 2022 (this ?Agreement?), is made by and between Nuo Therapeutics, Inc., a Delaware corporation (the ?Company?), and Pacific Medical, Inc., a California corporation (the ?Purchaser? or ?PacMed?). WHEREAS, on June 23, 2022, the Company and the Purchaser entered int

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 to FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commiss

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000

AURX / Nuo Therapeutics Inc / JORDEN DAVID EMERSON - SCHEDULE 13D Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 NUO THERAPEUTICS, INC. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 67059V209 (CUSIP Number) David E. Jorden c/o Nuo Therapeutics, Inc. 8285 El Rio, Suite 190 Houston, TX 77054 (346) 396-4770 (Name, Address and Telephone Number

AURX / Nuo Therapeutics Inc / SHEEDY CHARLES E - SCHEDULE 13D/A Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 2 to SCHEDULE 13D Under the Securities Exchange Act of 1934 NUO THERAPEUTICS, INC. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 67059V209 (CUSIP Number) Charles E. Sheedy Two Houston Center, Suite 2907 Houston, TX 77010 (713) 654-4484 (Name, Address and Telephone Numbe

AURX / Nuo Therapeutics Inc / Pittman Scott M. - SCHEDULE 13D/A Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 to SCHEDULE 13D Under the Securities Exchange Act of 1934 NUO THERAPEUTICS, INC. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 67059V209 (CUSIP Number) Scott M. Pittman c/o Nuo Therapeutics, Inc. 8285 El Rio, Suite 190 Houston, TX 77054 (346) 396-4770 (Name, Address a

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 23, 2022 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 000-28443 23-3011702 (State or Other Jurisdiction (Commission (IRS Employer of Incorpo

Employment Agreement between David Jorden and Nuo Therapeutics, Inc. dated May 9, 2022 (previously filed on May 16, 2022 as Exhibit 10.1 to the registrant’s Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2022 and incorporated by reference herein)*

Exhibit 10.1 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this ?Agreement?) executed on May 9, 2022 retroactive to April 1, 2022 (the ?Effective Date?), is by and between Nuo Therapeutics, Inc., a Delaware corporation (together with its affiliates and subsidiaries, the ?Company?), and David E. Jorden (the ?Employee?). WITNESSETH: WHEREAS, the Company and the Employee desire the Employee to cont

Securities Purchase Agreement dated May 13, 2022

Exhibit 10.3 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement, dated on and as of May 13, 2022 (this ?Agreement?), is made by and among Nuo Therapeutics, Inc., a Delaware corporation (the ?Company?), and the undersigned purchasers (each a ?Purchaser? and collectively, the ?Purchasers?) and each assignee of a Purchaser who becomes a party hereto. WHEREAS, subject to the terms and co

Employment Agreement between Peter Clausen and Nuo Therapeutics, Inc. dated May 9, 2022 (previously filed on May 16, 2022 as Exhibit 10.2 to the registrant’s Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2022 and incorporated by reference herein)*

Exhibit 10.2 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this ?Agreement?) executed on May 9, 2022 retroactive to January 1, 2022 (the ?Effective Date?), is by and between Nuo Therapeutics, Inc., a Delaware corporation (together with its affiliates and subsidiaries, the ?Company?), and Peter A. Clausen (the ?Employee?). WITNESSETH: WHEREAS, the Company and the Employee desire the Employee to c

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 00

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 29, 2022 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 000-28443 23-3011702 (State or Other Jurisdiction (Commission (IRS Employer of Incorp

Securities Purchase Agreement

Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement, dated on and as of April 11, 2022 (this ?Agreement?), is made by and among Nuo Therapeutics, Inc., a Delaware corporation (the ?Company?), and the undersigned purchasers (each a ?Purchaser? and collectively, the ?Purchasers?) and each assignee of a Purchaser who becomes a party hereto. WHEREAS, subject to the terms and

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION INFORMATION STATEMENT PURSUANT TO SECTION 14(C) OF THE SECURITIES EXCHANGE ACT OF 1934

DEF 14C 1 aurx20220422def14c.htm FORM DEF 14C UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION INFORMATION STATEMENT PURSUANT TO SECTION 14(C) OF THE SECURITIES EXCHANGE ACT OF 1934 Check the appropriate box: ☐ Preliminary Information Statement ☐ Confidential, For Use of the Commission Only (as Permitted by Rule 14c-5(d)(2)) ☒ Definitive Information

Audit Committee Charter

Exhibit 99.1 AUDIT COMMITTEE CHARTER Status and Purpose The Audit Committee (the ?Committee?) is a committee of the Board of Directors (the Board?) of Nuo Therapeutics, Inc. (the ?Company?). The Committee shall represent and assist the Board with the oversight of: (a) the integrity of the Company?s financial statements and internal controls, (b) the Company?s compliance with legal and regulatory r

Code of Conduct and Ethics

Exhibit 14 CODE OF CONDUCT AND ETHICS In its efforts to prevent and detect wrongful conduct, Nuo Therapeutics has adopted and implemented a compliance and ethics program designed to encourage ethical conduct and a commitment to compliance with law.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal years ended December 31, 2019, 2020 and 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission fil

Nominating and Governance Committee Charter

Exhibit 99.3 NUO THERAPEUTICS, INC. NOMINATING AND CORPORATE GOVERNANCE COMMITTEE CHARTER Membership and Organization The members of the Nominating and Corporate Governance Committee (the ?Committee?) shall be comprised of not less than two and not more than five directors. The Committee members shall meet the independence and other requirements established by law, the rules and regulations of the

2016 Omnibus Incentive Compensation Plan, as amended and restated (previously filed on April 15, 2022 as Exhibit 10.22 to the registrant’s Annual Report on Form 10-K and incorporated by reference herein)*

Exhibit 10.22 NUO THERAPEUTICS, INC. 2016 OMNIBUS INCENTIVE COMPENSATION PLAN (As amended and restated by the Board of Directors on August 4, 2016 and March 4, 2022, subject to approval by the Company?s shareholders) Article 1. Effective Date, Objectives and Duration 1.1 Effective Date of the Plan. NUO THERAPEUTICS, INC., a Delaware corporation (the ?Company?), adopted this 2016 Omnibus Incentive

Compensation Committee Charter

Exhibit 99.2 NUO THERAPEUTICS, INC. COMPENSATION COMMITTEE CHARTER Purpose The Compensation Committee (the ?Committee?) is a corporate governance structure through which directors can effectively review and manage the officer and director compensation matters of Nuo Therapeutics, Inc. (the ?Company?), administer equity incentive plan and review various director and executive benefit plans. The Com

Subsidiaries of the Company (previously filed on April 15, 2022 as Exhibit 21 to the registrant’s Annual Report on Form 10-K and incorporated by reference herein)

Exhibit 21 List of Subsidiaries Name State of Organization Aldagen, Inc. Delaware

Description of securities registered pursuant to Section 12 of the Securities Exchange Act of 1934 (previously filed on April 15, 2022 as Exhibit 4.1 to the registrant’s Annual Report on Form 10-K and incorporated by reference herein)

Exhibit 4.1 Description of securities registered pursuant to Section 12 of the Securities Exchange Act of 1934 As of December 31, 2019, 2020 and 2021, Nuo Therapeutics, Inc. (?we,? ?our,? ?us? or the ?Company?) had one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the ?Exchange Act?): common stock, $0.0001 par value per share (?Common Stock?).

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC File Number: 000-28443 CUSIP Number: 67059V209 ? Form 10-K ? Form 20-F ? Form 11-K ? Form 10-Q ? Form 10-D ? Form N-SAR ? Form N-CSR For Period Ended: December 31, 2021 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report on Form 11-K ? Transition Rep

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(d)(1) OR 13(e)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 Nuo Therapeutics, Inc. (Name of Subject Company (Issu

SC TO-T/A 1 nuofinalamendment.htm FINAL AMENDMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 to SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(d)(1) OR 13(e)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 Nuo Therapeutics, Inc. - (Name of Subject Company (Issuer)) Alternative Liquidity Index LP - (Names of Filing Person (Purchaser)) Common Stock, $0.001

Press Release issued by the Company dated February 4, 2022

Exhibit (a)(1) 8285 El Rio, Suite 150 Houston, TX 77054 Phone 832.236.9060 NUO THERAPEUTICS RESPONDS TO MINI-TENDER OFFER Houston, TX ? February 4, 2022 ? Nuo Therapeutics, Inc. (?Nuo? or the ?Company?) announced that it is aware of an unsolicited ?mini-tender? offer by Alternative Liquidity Index, LP to purchase up to 1,820,000 shares of Nuo common stock, approximately 4.9% of the outstanding sha

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) Solicitation/Recommendation Statement Under Section 14(d)(4) of the Securities Exchange Act of 1934 Nuo Therapeutics, Inc. (Name of Subject Company)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) Solicitation/Recommendation Statement Under Section 14(d)(4) of the Securities Exchange Act of 1934 Nuo Therapeutics, Inc. (Name of Subject Company) Nuo Therapeutics, Inc. (Name of Person Filing Statement) Common Stock, $0.0001 par value (Title of Class of Securities) 67059V209 (CUSIP Number of Cl

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(d)(1) OR 13(e)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 Nuo Therapeutics, Inc. (Name of Subject Company (Issuer)) Alternative

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(d)(1) OR 13(e)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 Nuo Therapeutics, Inc. - (Name of Subject Company (Issuer)) Alternative Liquidity Index LP - (Names of Filing Person (Purchaser)) Common Stock, $0.001 par value - (Title of Class of Securities) 67059V209

Alternative Liquidity Index announces offer to purchase shares in Nuo Therapeutics, Inc. (AURX)

EX-99 5 ExhibitA4.htm PRESS RELEASE Alternative Liquidity Index announces offer to purchase shares in Nuo Therapeutics, Inc. (AURX) Minnetonka, MN January 21, 2022 Alternative Liquidity Index LP has announced an offer to purchase up to 1,820,000 Shares of Nuo Therapeutics, Inc. (the “Shares”), an amount equal to approximately 4.9% of the total issued Shares at a price of $0.01 (the “Offer”). The S

Assignment Form

Assignment Form Please complete and return to: Alternative Liquidity Index LP C/O Alternative Liquidity Capital 11500 Wayzata Blvd.

Alternative Liquidity Capital Minnetonka, Minnesota

Alternative Liquidity Capital Minnetonka, Minnesota January 21, 2022 Re: Offer to Purchase Shares of Nuo Therapeutics, Inc.

Offer to Purchase for Cash Up to 1,820,000 Shares Nuo Therapeutics, Inc. At a Price of $0.01 per share by Alternative Liquidity Index, LP Ticker Symbol: AURX CUSIP: 67059V209 TENDER PURCHASE DATE: March 18, 2022 (unless Expiration Date is extended)

Offer to Purchase for Cash Up to 1,820,000 Shares of Nuo Therapeutics, Inc. At a Price of $0.01 per share by Alternative Liquidity Index, LP Ticker Symbol: AURX CUSIP: 67059V209 TENDER PURCHASE DATE: March 18, 2022 (unless Expiration Date is extended) THIS OFFER, THE PRORATION PERIOD, AND THE WITHDRAWAL RIGHTS WILL EXPIRE AT 12:00 A.M. MIDNIGHT, NEW YORK CITY TIME, MARCH 15, 2022, UNLESS THE OFFER

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 1, 2021 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (Commission (IRS Employer of Inco

Warrant Modification Agreement

Exhibit 4.1 NEITHER THIS SECURITY NOR THE SECURITIES AS TO WHICH THIS SECURITY MAY BE EXERCISED HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REG

Nuo Therapeutics Announces Publication of Final Decision Memo for Autologous Blood Derived Products for Chronic Non-Healing Wounds by Centers for Medicare & Medicaid Services

EX-99.1 2 ex242443.htm EXHIBIT 99.1 Exhibit 99.1 Nuo Therapeutics Announces Publication of Final Decision Memo for Autologous Blood Derived Products for Chronic Non-Healing Wounds by Centers for Medicare & Medicaid Services Houston, TX – April 20, 2021 – Nuo Therapeutics, Inc. (OTC Pink: AURX) (“Nuo” or the “Company”), today announced the recent publication of the final decision memo for Autologou

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 20, 2021 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (Commission (IRS Employer of Incorp

AURX / Nuo Therapeutics, Inc / Flynn James E Passive Investment

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No.

Recapitalization Agreement

EX-4.1 2 ex206139.htm EXHIBIT 4.1 Exhibit 4.1 RECAPITALIZATION AGREEMENT This RECAPITALIZATION AGREEMENT (this “Agreement”) dated as of October 5, 2020, is by and among Nuo Therapeutics, Inc., a Delaware corporation (the “Company”), Deerfield Private Design Fund II, L.P. (“DPDF”) and Deerfield PDI Financing II, L.P. (“DPF” and, together with DPDF, the “Deerfield Investors”), and those certain hold

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits

8-K 1 aurx202010058k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 5, 2020 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction

Other Events

8-K 1 aurx202004138k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 3, 2020 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (C

Other Events

8-K 1 aurx202003308k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 30, 2020 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (

Quarterly Report - FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file numbe

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 6, 2019 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (Commission (IRS Employer of Inco

Convertible Promissory Note Fifth Amendment with EMA Financial LLC dated December 10, 2019

Exhibit 10.2 FIFTH AMENDMENT TO THE CONVERTIBLE PROMISSORY NOTE ISSUED ON SEPTEMBER 17, 2018 THIS FIFTH AMENDMENT TO THE CONVERTIBLE PROMISSORY NOTE ISSUED ON September 17, 2018 (the “Amendment”) is made effective as of December 10, 2019 (the “Effective Date”), by and between NUO THERAPUETICS, INC., a Delaware corporation (the “Company”), and EMA Financial LLC a Delaware limited liability company

Convertible Promissory Note Fifth Amendment with Auctus Fund LLC dated December 10, 2019

Exhibit 10.1 FIFTH AMENDMENT TO THE CONVERTIBLE PROMISSORY NOTE ISSUED ON SEPTEMBER 17, 2018 THIS FIFTH AMENDMENT TO THE CONVERTIBLE PROMISSORY NOTE ISSUED ON September 17, 2018 (the “Amendment”) is made effective as of December 10, 2019 (the “Effective Date”), by and between NUO THERAPUETICS, INC., a Delaware corporation (the “Company”), and Auctus Fund LLC a Delaware limited liability company (t

Form of Warrant

Exhibit 4.2 NEITHER THIS SECURITY NOR THE SECURITIES AS TO WHICH THIS SECURITY MAY BE EXERCISED HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REG

Note Purchase Agreement

Exhibit 10.1 Nuo Therapeutics, Inc. Note Purchase Agreement November 15, 2019 Nuo Therapeutics, Inc. Note Purchase Agreement This Note Purchase Agreement (this “Agreement”) is made as of November 15, 2019 the “Effective Date”) by and among Nuo Therapeutics, Inc., a Delaware corporation (the “Company”), and the persons and entities named on the “Schedule of Purchasers” attached hereto (individually

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 15, 2019 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (Commission (IRS Employer of Inc

Form of 12% Senior Secured Promissory Note

Exhibit 4.1 THIS NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS AND NEITHER THIS NOTE, NOR ANY INTEREST HEREIN MAY BE OFFERED, SOLD, TRANSFERRED, PLEDGED OR OTHERWISE DISPOSED OF EXCEPT PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER SUCH ACT AND SUCH LAWS, OR AN EXEMPTION FROM REGISTRATION UNDER SUCH ACT AND SUCH LAWS WHICH, IN THE OP

Form of Security Agreement

EX-4.3 4 ex165467.htm EXHIBIT 4.3 Exhibit 4.3 SECURITY AGREEMENT This SECURITY AGREEMENT ("Security Agreement"), dated as of November 15, 2019, is made by Nuo Therapeutics, Inc., a Delaware corporation (the "Company") with and in favor of -, (the "Secured Party"). Capitalized terms used herein and not otherwise defined shall have the meanings set forth in the Note (as defined below). The Company a

AURX / Nuo Therapeutics, Inc NT 10-Q - - FORM NT 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC File Number: 001-32518 CUSIP Number: 67059V209 [ ] Form 10-K [ ] Form 20-F [ ] Form 11-K [X] Form 10-Q [ ] Form 10-D [ ] Form N-SAR [ ] Form N-CSR For Period Ended: September 30, 2019 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 20-F [ ] Transition Report on Form

Quarterly Report - FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001

AURX / Nuo Therapeutics, Inc NT 10-Q - - FORM NT 10-Q

NT 10-Q 1 aurx20190811nt10q.htm FORM NT 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC File Number: 001-32518 CUSIP Number: 67059V209 [ ] Form 10-K [ ] Form 20-F [ ] Form 11-K [X] Form 10-Q [ ] Form 10-D [ ] Form N-SAR [ ] Form N-CSR For Period Ended: June 30, 2019 [ ] Transition Report on Form 10-K [ ] Transition Report on

Convertible Promissory Note Fourth Amendment with EMA Financial, LLC dated August 6, 2019

EX-10.2 3 ex153396.htm EXHIBIT 10.2 Exhibit 10.2 FOURTH AMENDMENT TO THE CONVERTIBLE PROMISSORY NOTE ISSUED ON SEPTEMBER 17, 2018 This FOURTH AMENDMENT TO THE CONVERTIBLE PROMISSORY NOTE issued on September 17, 2018 (the “Amendment”) is made effective as of August 6, 2019 (the “Effective Date”), by and between NUO THERAPUETICS, INC., a Delaware corporation (the “Company”), and EMA Financial, LLC,

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

8-K 1 aurx201908068k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 6, 2019 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (

Convertible Promissory Note Fourth Amendment with Auctus Fund LLC dated August 6, 2019 (previously filed on August 7, 2019 as Exhibit 10.1 to the Current Report on Form 8-K and incorporated by reference herein).

Exhibit 10.1 FOURTH AMENDMENT TO THE CONVERTIBLE PROMISSORY NOTE ISSUED ON SEPTEMBER 17, 2018 This FOURTH AMENDMENT TO THE CONVERTIBLE PROMISSORY NOTE issued on September 17, 2018, (the “Amendment”) is made effective as of August 6, 2019 (the “Effective Date”), by and between NUO THERAPUETICS, INC., a Delaware corporation (the “Company”), and Auctus Fund, LLC, a Delaware limited liability company

Convertible Promissory Note Third Amendment with Auctus Fund LLC dated June 11, 2019 (previously filed on June 13, 2019 as Exhibit 10.1 to the Current Report on Form 8-K and incorporated by reference herein).

EX-10.1 2 ex147201.htm EXHIBIT 10.1 Exhibit 10.1 THIRD AMENDMENT TO THE CONVERTIBLE PROMISSORY NOTE ISSUED ON SEPTEMBER 17, 2018 THIS THIRD AMENDMENT TO THE CONVERTIBLE PROMISSORY NOTE ISSUED ON September 17, 2018, (the “Amendment”) is made effective as of June 11, 2019 (the “Effective Date”), by and between NUO THERAPUETICS, INC., a Delaware corporation (the “Company”), and Auctus Fund, LLC, a De

Convertible Promissory Note Third Amendment with EMA Financial, LLC dated June 12, 2019

EX-10.2 3 ex147202.htm EXHIBIT 10.2 Exhibit 10.2 THIRD AMENDMENT TO THE CONVERTIBLE PROMISSORY NOTE ISSUED ON SEPTEMBER 17, 2018 THIS THIRD AMENDMENT TO THE CONVERTIBLE PROMISSORY NOTE ISSUED ON September 17, 2018 (the “Amendment”) is made effective as of June 12, 2019 (the “Effective Date”), by and between NUO THERAPUETICS, INC., a Delaware corporation (the “Company”), and EMA Financial, LLC, a D

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

8-K 1 aurx201906118k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 11, 2019 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (C

AURX / Nuo Therapeutics, Inc 10-Q - Quarterly Report - FORM 10-Q

10-Q 1 aurx2019033110q.htm FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition per

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NT 10-Q 1 aurx20190513bnt10q.htm FORM NT 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC File Number: 001-32518 CUSIP Number: 67059V209 [ ] Form 10-K [ ] Form 20-F [ ] Form 11-K [X] Form 10-Q [ ] Form 10-D [ ] Form N-SAR [ ] Form N-CSR For Period Ended: March 31, 2019 [ ] Transition Report on Form 10-K [ ] Transition Report o

Convertible Promissory Note Second Amendment with Auctus Fund LLC dated May 3, 2019 (previously filed on May 7, 2019 as Exhibit 10.1 to the Current Report on Form 8-K and incorporated by reference herein).

EX-10.2 3 ex143281.htm EXHIBIT 10.2 Exhibit 10.2 SECOND AMENDMENT TO THE CONVERTIBLE PROMISSORY NOTE ISSUED ON SEPTEMBER 17, 2018 THIS SECOND AMENDMENT TO THE CONVERTIBLE PROMISSORY NOTE ISSUED ON September 17, 2018 (the “Amendment”) is made effective as of May 3, 2019 (the “Effective Date”), by and between NUO THERAPUETICS, INC., a Delaware corporation (the “Company”), and EMA Financial, LLC, a D

Convertible Promissory Note Second Amendment with Auctus Fund LLC dated May 3, 2019 (previously filed on May 7, 2019 as Exhibit 10.1 to the Current Report on Form 8-K and incorporated by reference herein).

EX-10.1 2 ex143280.htm EXHIBIT 10.1 Exhibit 10.1 SECOND AMENDMENT TO THE CONVERTIBLE PROMISSORY NOTE ISSUED ON SEPTEMBER 17, 2018 THIS SECOND AMENDMENT TO THE CONVERTIBLE PROMISSORY NOTE ISSUED ON September 17, 2018, (the “Amendment”) is made effective as of May 3, 2019 (the “Effective Date”), by and between NUO THERAPUETICS, INC., a Delaware corporation (the “Company”), and Auctus Fund, LLC, a De

Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 3, 2019 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (Commission (IRS Employer of Incorpora

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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 SCHEDULE 14A (Rule 14a-101) SCHEDULE 14A INFORMATION Consent Solicitation Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as p

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Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-325

AURX / Nuo Therapeutics, Inc FORM NT 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC File Number: 001-32518 CUSIP Number: 67059V209 [X] Form 10-K [ ] Form 20-F [ ] Form 11-K [ ] Form 10-Q [ ] Form 10-D [ ] Form N-SAR [ ] Form N-CSR For Period Ended: December 31, 2018 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 20-F [ ] Transition Report on Form 1

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 19, 2019 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (Commission (IRS Employer of Incorp

Amendment to the Convertible Promissory Note issued on September 17, 2018 to EMA Financial, LLC dated March 19, 2019 (previously filed on March 22, 2019 as Exhibit 10.2 to the registrant’s Current Report on Form 8-K and incorporated by reference herein)

EX-10.2 3 ex138467.htm EXHIBIT 10.2 EMA AMENDMENT Exhibit 10.2 AMENDMENT TO THE CONVERTIBLE PROMISSORY NOTE ISSUED ON SEPTEMBER 17, 2018 THIS AMENDMENT TO THE CONVERTIBLE PROMISSORY NOTE ISSUED ON September 17, 2018, (the “Amendment”) is made effective as of March 19, 2019 (the “Effective Date”), by and between NUO THERAPUETICS, INC., a Delaware corporation (the “Company”), and EMA Financial, LLC,

Nuo Therapeutics Provides Update on Ongoing Interactions with Centers for Medicare & Medicaid Services

EX-99.1 4 ex138468.htm EXHIBIT 99.1 PRESS RELEASE Exhibit 99.1 Nuo Therapeutics Provides Update on Ongoing Interactions with Centers for Medicare & Medicaid Services Gaithersburg, MD – March 22, 2019 – Nuo Therapeutics, Inc. (OTCQB: AURX) (“Nuo” or the “Company”), today provided an update on ongoing interactions with Centers for Medicare & Medicaid Services’ (CMS) Coverage and Analysis Group (CAG)

Amendment to the Convertible Promissory Note issued on September 17, 2018 to Auctus Fund, LLC dated March 19, 2019 (previously filed on March 22, 2019 as Exhibit 10.1 to the registrant’s Current Report on Form 8-K and incorporated by reference herein)

Exhibit 10.1 AMENDMENT TO THE CONVERTIBLE PROMISSORY NOTE ISSUED ON SEPTEMBER 17, 2018 THIS AMENDMENT TO THE CONVERTIBLE PROMISSORY NOTE ISSUED ON September 17, 2018, (the “Amendment”) is made effective as of March 19, 2019 (the “Effective Date”), by and between NUO THERAPUETICS, INC., a Delaware corporation (the “Company”), and Auctus Fund, LLC, a Delaware limited liability company (the “Holder”)

Nuo Therapeutics Announces Corporate Update Conference Call Conference Call Scheduled for Tuesday, January 22, 2019 at 10 AM ET

EX-99.1 2 ex132988.htm EXHIBIT 99.1 Exhibit 99.1 Nuo Therapeutics Announces Corporate Update Conference Call Conference Call Scheduled for Tuesday, January 22, 2019 at 10 AM ET Gaithersburg, MD – January 15, 2019 – Nuo Therapeutics, Inc. (OTCQB: AURX) (“Nuo” or the “Company”), today announced plans to conduct a conference call to provide a corporate update and respond to questions, particularly wi

Regulation FD Disclosure, Financial Statements and Exhibits

8-K 1 aurx201901158k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 15, 2019 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

8-K 1 aurx201901038k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 31, 2018 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdictio

AURX / Nuo Therapeutics, Inc FORM 10-Q (Quarterly Report)

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file numbe

AURX / Nuo Therapeutics, Inc FORM NT 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC File Number: 001-32518 CUSIP Number: 67059V209 [ ] Form 10-K [ ] Form 20-F [ ] Form 11-K [X] Form 10-Q [ ] Form 10-D [ ] Form N-SAR [ ] Form N-CSR For Period Ended: September 30, 2018 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 20-F [ ] Transition Report on Form

Agreement for Sale of Intellectual Property between Nuo Therapeutics, Inc. and Rohto Pharmaceutical Co., Ltd.

EX-10.1 2 ex126324.htm EXHIBIT 10.1 Exhibit 10.1 AGREEMENT FOR SALE OF INTELLECTUAL PROPERTY This AGREEMENT FOR SALE OF INTELLECTUAL PROPERTY (“Agreement”) is made and entered into as of October 24, 2018 (“Effective Date”), between Nuo Therapeutics., Inc., a Delaware corporation, with its principal office at 207A Perry Parkway, Suite 1, Gaithersburg, MD 20877 (“Nuo”), and Rohto Pharmaceutical Co.,

Financial Statements and Exhibits

8-K 1 aurx201810258k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 24, 2018 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction

License and Service Agreement between Nuo Therapeutics, Inc. and Rohto Pharmaceutical Co., Ltd.

EX-10.2 3 ex126325.htm EXHIBIT 10.2 Exhibit 10.2 LICENSE AND SERVICE AGREEMENT This LICENSE AND SERVICE AGREEMENT (“Agreement”) is made and entered into as of October 24, 2018 (“Effective Date”), between Nuo Therapeutics., Inc., a Delaware corporation, with its principal office at 207A Perry Parkway, Suite 1, Gaithersburg, MD 20877 (“Nuo”), and Rohto Pharmaceutical Co., Ltd., a Japanese company, w

First Amendment to License Agreement between Aldagen, Inc. and STEMCELL Technologies Canada, Inc.

EX-10.1 2 ex124868.htm EXHIBIT 10.1 Exhibit 10.1 FIRST AMENDMENT TO LICENSE AGREEMENT This FIRST AMENDMENT (“Amendment”) is made and entered into as of September 28, 2018 (“Amendment Effective Date”), between Aldagen, Inc., a Delaware corporation (“ALDAGEN”), with its principal offices at 207A Perry Parkway, Suite 1, Gaithersburg, MD 20877, and STEMCELL Technologies Canada Inc. (previous corporate

Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 28, 2018 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (Commission (IRS Employer of In

Form of Warrant

Exhibit 4.3 NEITHER THIS SECURITY NOR THE SECURITIES AS TO WHICH THIS SECURITY MAY BE EXERCISED HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REG

Securities Purchase Agreement between Nuo Therapeutics, Inc. and EMA Financial, LLC

EX-10.2 6 ex124383.htm EXHIBIT 10.2 Exhibit 10.2 SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (this “Agreement”), dated as of September 17, 2018, is entered into by and between NUO THERAPEUTICS, INC., a Delaware corporation (the “Company”), and EMA Financial, LLC, a Delaware limited liability company (the “Purchaser”). WHEREAS, subject to the terms and conditions set forth in t

12% Convertible Promissory Note issued to Auctus Fund, LLC

EX-4.1 2 ex124379.htm EXHIBIT 4.1 Exhibit 4.1 NEITHER THE ISSUANCE AND SALE OF THE SECURITIES REPRESENTED BY THIS CERTIFICATE NOR THE SECURITIES INTO WHICH THESE SECURITIES ARE CONVERTIBLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE ABSENCE OF (A) AN EFFE

12% Convertible Promissory Note issued to EMA Financial, LLC

EX-4.2 3 ex124380.htm EXHIBIT 4.2 Exhibit 4.2 NEITHER THE ISSUANCE AND SALE OF THE SECURITIES REPRESENTED BY THIS CERTIFICATE NOR THE SECURITIES INTO WHICH THESE SECURITIES ARE CONVERTIBLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE ABSENCE OF (A) AN EFFE

Securities Purchase Agreement (Auctus Fund, LLC) (previously filed on September 21, 2018 as Exhibit 10.1 to the Current Report on Form 8-K and incorporated by reference herein).

EX-10.1 5 ex124382.htm EXHIBIT 10.1 Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (the “Agreement”), dated as of September 17, 2018, by and between NUO THERAPEUTICS, INC., a Delaware corporation, with headquarters located at 207A Perry Parkway, Suite 1, Gaithersburg, MD 20877 (the “Company”), and AUCTUS FUND, LLC, a Delaware limited liability company, with its addre

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 17, 2018 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (Commission (IRS Employer of In

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 4, 2018 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (Commission (IRS Employer of Inc

Certificate of Amendment to the Second Amended and Restated Certificate of Incorporation of Nuo Therapeutics, Inc. (previously filed on September 5, 2018 as Exhibit 3.1 to the registrant’s Current Report on Form 8-K and incorporated by reference herein).

EX-3.1 2 ex123239.htm EXHIBIT 3.1 Exhibit 3.1 Certificate of Amendment TO the SECOND AMENDED AND RESTATED Certificate of Incorporation of NUO THERAPEUTICS, INC. Nuo Therapeutics, Inc., a corporation organized and existing under the laws of the State of Delaware (the “Corporation”), DOES HEREBY CERTIFY AS FOLLOWS: FIRST: The Second Amended and Restated Certificate of Incorporation of the Corporatio

AURX / Nuo Therapeutics, Inc FORM DEF 14A

DEF 14A 1 aurx20180815def14a.htm FORM DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 SCHEDULE 14A (Rule 14a-101) SCHEDULE 14A INFORMATION Consent Solicitation Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Conf

AURX / Nuo Therapeutics, Inc FORM PRE 14A

PRE 14A 1 aurx20180814pre14a.htm FORM PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 SCHEDULE 14A (Rule 14a-101) SCHEDULE 14A INFORMATION Consent Solicitation Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Conf

AURX / Nuo Therapeutics, Inc FORM 10-Q (Quarterly Report)

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 9, 2018 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (Commission (IRS Employer of Incorp

Letter from GBH CPAs, PC to the Securities and Exchange Commission dated August 9, 2018

Exhibit 16.1 United States Securities and Exchange Commission Office of the Chief Accountant 100 F Street, N.E. Washington,D.C. 20549 Ladies and Gentleman: We have read the statements under Item 4.01in the Form 8-K dated August 9, 2018,of Nuo Therapeutics,Inc. (the "Company") to be filed with the Securities and Exchange Commission and we agree with such statements therein as related to our firm. W

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 25, 2018 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (Commission (IRS Employer of Incorpo

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

8-K 1 aurx201805308k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 28, 2018 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (Co

Amendment No. 1 to Exclusive License and Distribution Agreement, dated May 28, 2018

EX-10.2 3 ex115652.htm EXHIBIT 10.2 Exhibit 10.2 AMENDMENT I TO EXCLUSIVE LICENSE AND DISTRIBUTION AGREEMENT This AMENDMENT I (“Amendment”) is made and entered into as of May 28, 2018 (“Amendment Effective Date”), between Nuo Therapeutics, Inc., a Delaware corporation, with its principal office at 207A Perry Parkway, Suite 1, Gaithersburg, MD 20877 (“Nuo”), and Rohto Pharmaceutical Co., Ltd., a Ja

Securities Purchase Agreement, dated May 28, 2018

Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement, dated on and as of May 28, 2018 (this “Agreement”), is made by and among Nuo Therapeutics, Inc., a Delaware corporation (the “Company”), and Rohto Pharmaceutical Co., Ltd., a Japanese corporation with its principal office at 1-8-1 Tatsumi-nishi, Ikuno-ku, Osaka Japan 544-8666, the undersigned purchaser (“Rohto”). WHEREA

AURX / Nuo Therapeutics, Inc FORM 10-Q (Quarterly Report)

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 00

AURX / Nuo Therapeutics, Inc FORM 10-K (Annual Report)

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Medical Monitor Agreement, dated October 27, 2017, between the Company and Paul Mintz. (Filed herewith)

Exhibit 10.22 MEDICAL MONITOR AND CONSULTING AGREEMENT This Medical Monitor and Consulting Agreement ("Agreement") is entered into October 27, 2017, between Nuo Therapeutics Inc. ("NUO"), a Delaware Corporation with principal offices at 209A Perry Parkway, Suite 1, Gaithersburg, MD 20877, and Paul D. Mintz, MD ("Consultant"), located at 208 Rowledge Road, Charlottesville, VA 22903. 1. Commencement

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 29, 2018 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (Commission (IRS Employer of Incorp

AURX / Nuo Therapeutics, Inc FORM NT 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC File Number: 001-32518 CUSIP Number: 67059V209 [X ] Form 10-K [ ] Form 20-F [ ] Form 11-K [ ] Form 10-Q [ ] Form 10-D [ ] Form N-SAR [ ] Form N-CSR For Period Ended: December 31, 2017 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 20-F [ ] Transition Report on Form

Other Events

aurx201801198k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 12, 2018 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (Commission (I

CMXI / FORM PRE 14A

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AURX / Nuo Therapeutics, Inc FORM 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-32518 Nuo Th

Letter from CohnReznick LLP to Securities and Exchange Commission dated September 27, 2017

ex96038.htm Exhibit 16.1 September 27, 2017 Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Ladies and Gentlemen: We have read the statements made by Nuo Therapeutics, Inc. (CIK No. 0001091596) in its Form 8-K dated September 27, 2017, which we understand will be filed with the Commission pursuant to Item 4.01 of Form 8-K. We agree with the statements concerning our Firm i

Changes in Registrant's Certifying Accountant

8-K 1 nuot201709278k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 27, 2017 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdicti

NUOT / Nuo Therapeutics, Inc. / Boyalife Investment Fund I, Inc. - SCHEDULE 13D AMENDMENT Activist Investment

SC 13D/A 1 boyalifesc13da.htm SCHEDULE 13D AMENDMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1 )* NUO THERAPEUTICS, INC. (Name of Issuer) Common Stock, par value $0.0001 (Title of Class of Securities) 67059V100 (CUSIP Number) Xiaochun Xu, PhD, MBA 2453 S. Archer Ave. Suite B Chicago, IL 60616 Tel:

Unregistered Sales of Equity Securities, Other Events

nuot201709138k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 11, 2017 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (Commission

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pittman20170818sc13d.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 NUO THERAPEUTICS, INC. (Name of Issuer) Common Stock, $.0001 par value per share (Title of Class of Securities) 67059V209 (CUSIP Number) Scott M. Pittman c/o Nuo Therapeutics, Inc. 207A Perry Parkway, Suite 1 Gaithersburg, MD 20877 (240) 499-2680 (

AURX / Nuo Therapeutics, Inc / SHEEDY CHARLES E - SC 13D/A Activist Investment

SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D [Rule 13d-101] INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 240.13d-2(a) AND AMENDMENTS THERETO FILED PURSUANT TO 240.13d-2(a) (Amendment No. 1)* NUO THERAPEUTICS, INC. (Name of Issuer) Common Stock, $.0001 par value per share (Title of Class of Securities) 67059V209 (CUSIP Number) Charles E

Unregistered Sales of Equity Securities, Other Events

nuot201708128k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 10, 2017 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (Commission (IR

AURX / Nuo Therapeutics, Inc FORM 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-32518 Nuo Therape

CMXI FORM RW

aurx20170804rw.htm [Nuo Therapeutics Letterhead] August 4, 2017 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street N.W. Washington, D.C. 20549 Re: Nuo Therapeutics, Inc. Registration Statement on Form S-1 Initially filed April 11, 2017 Registration No. 333-217241 Ladies and Gentlemen: Pursuant to Rule 477 promulgated under the Securities Act of 1933, as amend

Nuo Therapeutics Receives Advisory Opinion Waiver for Medicare Part B Co-Payments for Patients in Aurix CED Clinical Studies

EX-99.1 2 ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 Nuo Therapeutics Receives Advisory Opinion Waiver for Medicare Part B Co-Payments for Patients in Aurix CED Clinical Studies GAITHERSBURG, Md., July 05, 2017 (GLOBE NEWSWIRE) - Nuo Therapeutics, Inc. (OTCQX:AURX) (“Nuo” or the “Company”) announced today that the Office of Inspector General (OIG) of Department of Health and Human Services has issued an

Financial Statements and Exhibits

8-K 1 nuot201707058k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 5, 2017 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (Co

As filed with the Securities and Exchange Commission on June 30, 2017

S-1/A 1 aurx20170628s1a.htm FORM S-1/A As filed with the Securities and Exchange Commission on June 30, 2017 Registration File No. 333-217241 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 2 to Form S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Nuo Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 3841 23-3011702

As filed with the Securities and Exchange Commission on June 20, 2017

nuot201706158k.htm As filed with the Securities and Exchange Commission on June 20, 2017 Registration File No. 333-217241 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 to Form S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Nuo Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 3841 23-3011702 (State or other jur

Regulation FD Disclosure, Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits

nuot201706078k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 9, 2017 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (Commission (IRS E

Nuo Therapeutics Restructures Series A Preferred Stock with Deerfield

ex99-4.htm Nuo Therapeutics Restructures Series A Preferred Stock with Deerfield GAITHERSBURG, Md. (June 12, 2017) - Nuo Therapeutics, Inc. (OTCQX: AURX) (the “Company”) announced today that it entered into an Exchange Agreement with entities affiliated with Deerfield Management Company for a comprehensive restructuring of the Series A preferred stock presently outstanding. Under the agreement, co

EXCHANGE AGREEMENT

ex10-1.htm Exhibit 10.1 EXCHANGE AGREEMENT This EXCHANGE AGREEMENT (this ?Agreement?) dated as of June 9, 2017, is by and among Nuo Therapeutics, Inc., a Delaware corporation (the ?Company?), Deerfield Private Design Fund II, L.P. (?DPDF?), Deerfield Private Design International II, L.P. (?DPDI?) and Deerfield Special Situations Fund, L.P. (?DSSF? and, together with DPDF and DPDI, the ?Investors?;

CERTIFICATE OF DESIGNATIONS SERIES B PREFERRED STOCK NUO THERAPEUTICS, INC. Pursuant to Section 151 of the General Corporation Law of the State of Delaware

ex99-1.htm Exhibit A CERTIFICATE OF DESIGNATIONS OF SERIES B PREFERRED STOCK OF NUO THERAPEUTICS, INC. Pursuant to Section 151 of the General Corporation Law of the State of Delaware NUO THERAPEUTICS, INC., a Delaware corporation (the ?Corporation?), does hereby certify that pursuant to the authority conferred upon the Corporation?s board of directors (together with any duly authorized committee t

Warrant to Purchase Common Stock of Nuo Therapeutics, Inc.

EX-99.2 4 ex99-2.htm EXHIBIT 99.2 Exhibit B THIS WARRANT AND THE SECURITIES ISSUABLE UPON EXERCISE HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR ANY STATE SECURITIES LAW. THE SECURITIES MAY NOT BE SOLD, TRANSFERRED, ASSIGNED OR EXERCISED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES ACT, OR PURSUANT TO AN EXEMPT

REGISTRATION RIGHTS AGREEMENT

ex99-3.htm Exhibit C REGISTRATION RIGHTS AGREEMENT REGISTRATION RIGHTS AGREEMENT (this “Agreement”), dated as of [], 2017, by and among Nuo Therapeutics, Inc., a Delaware corporation (the “Company”), Deerfield Private Design Fund II, L.P. (“DPDF”), Deerfield Private Design International II, L.P. (“DPDI”) and Deerfield Special Situations Fund, L.P. (“DSSF” and, together with DPDF and DPDI, the “Ori

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

10-Q 1 nuot2017033110q.htm FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commis

Financial Statements and Exhibits

nuot201705088k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 5, 2017 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (Commission (IRS Em

Nuo Therapeutics Obtains Stockholder Consent to Reverse Split

ex99-1.htm Exhibit 99.1 Nuo Therapeutics Obtains Stockholder Consent to Reverse Split GAITHERSBURG, Md. (May 8, 2017) - Nuo Therapeutics, Inc. (OTCQX: AURX) (the ?Company?) announces receipt of the written consent of more than a majority of the voting power of its outstanding capital stock in favor of a proposed reverse split of its common stock at a specific ratio within a range from 1-for-2 to 1

CMXI FORM DEF 14A

DEF 14A 1 nuot20170427def14a.htm FORM DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 SCHEDULE 14A (Rule 14a-101) SCHEDULE 14A INFORMATION Consent Solicitation Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Conf

CMXI FORM PRE 14A

PRE 14A 1 nuot20170417pre14a.htm FORM PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☐ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Prelimina

As filed with the Securities and Exchange Commission on April 10, 2017

S-1 1 nuot20170409s1.htm FORM S-1 As filed with the Securities and Exchange Commission on April 10, 2017 Registration File No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Nuo Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 3841 23-3011702 (State or other jurisdiction

Nuo Therapeutics Appoints Dr. Paul D. Mintz to its Board of Directors Blood Banking, Transfusion Medicine Leader and Platelet Biology Expert Brings Extensive Clinical, Regulatory and Reimbursement Expertise

ex99-1.htm Exhibit 99.1 Nuo Therapeutics Appoints Dr. Paul D. Mintz to its Board of Directors Blood Banking, Transfusion Medicine Leader and Platelet Biology Expert Brings Extensive Clinical, Regulatory and Reimbursement Expertise GAITHERSBURG, Md. (April 10, 2017) - Nuo Therapeutics, Inc. (OTCQX: AURX) ("Nuo"? or the "Company"?) announces the appointment of Paul D. Mintz, MD, Senior Vice Presiden

Financial Statements and Exhibits

nuot201704068k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 6, 2017 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (Commission (IRS

CMXI FORM PRE 14C

PRE 14C 1 nuot20170403pre14c.htm FORM PRE 14C UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION INFORMATION STATEMENT PURSUANT TO SECTION 14(C) OF THE SECURITIES EXCHANGE ACT OF 1934 Check the appropriate box: ☒ Preliminary Information Statement ☐ Confidential, For Use of the Commission Only (as Permitted by Rule 14a-6(e)(2)) ☐ Definitive Information

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2016 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-32518 NUO THERAPEUTIC

Nuo Therapeutics Provides Update on Public Market Trading Status Intends to Provide Overall Corporate Update During the Week of March 27, 2017

EX-99.1 2 ex99-1.htm EXHIBIT 99.1 Nuo Therapeutics Provides Update on Public Market Trading Status Intends to Provide Overall Corporate Update During the Week of March 27, 2017 Gaithersburg, MD – March 6, 2017 – Nuo Therapeutics, Inc. (OTCQB: AURX) (“Nuo” or the “Company”), announced today that the Depository Trust Company (“DTC”) has approved the Company’s common stock for DWAC/FAST transfer, the

Financial Statements and Exhibits

nuot201703068k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 6, 2017 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (Commission (IRS

Regulation FD Disclosure, Financial Statements and Exhibits

nuot201701318k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 31, 2017 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (Commission (I

OFFICE OF THE UNITED STATES TRUSTEE - REGION 3 POST-CONFIRMATION QUARTERLY SUMMARY REPORT This Report is to be submitted for all bank accounts that are presently maintained by the post confirmation debtor.

ex99-1.htm Exhibit 99.1 OFFICE OF THE UNITED STATES TRUSTEE - REGION 3 POST-CONFIRMATION QUARTERLY SUMMARY REPORT This Report is to be submitted for all bank accounts that are presently maintained by the post confirmation debtor. Debtor's Name: Nuo Therapeutics, Inc. Bank: Capital One Bankruptcy Number: 16-10192 (MFW) Account Number: All accounts Date of Confirmation: May 5, 2016 (Effective Date)

Regulation FD Disclosure

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 20, 2017 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (Commission (IRS Employer of Inco

7,500,000 Shares of Common Stock

Registration No. 333-214748 Rule 424(b)(3) Prospectus 7,500,000 Shares of Common Stock This prospectus relates to the resale of up to 7,500,000 shares of our common stock issued to various stockholders in an exempt private placement. As of the date of this prospectus, our common stock is not trading on an over-the-counter, or OTC, market. While a market maker has filed with FINRA an application fo

CMXI ESP

[Letterhead of Nuo Therapeutics, Inc.] January 9, 2017 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Re: Nuo Therapeutics, Inc. Registration Statement on Form S-1/A Filed December 23, 2016 File No. 333-214748 Ladies and Gentlemen: In accordance with Rule 461 under the Securities Act of 1933, as amended, the undersigned respec

As filed with the Securities and Exchange Commission on December 23, 2016

S-1/A 1 v455676s1a.htm S-1/A As filed with the Securities and Exchange Commission on December 23, 2016 Registration File No. 333-214748 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 to Form S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Nuo Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 3841 23-3011702 (Stat

CMXI ESP

[Hill Ward Henderson Letterhead] December 23, 2016 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance Mail Stop 3030 Washington, D.

Nuo Therapeutics DEF 14C

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION INFORMATION STATEMENT PURSUANT TO SECTION 14(C) OF THE SECURITIES EXCHANGE ACT OF 1934 Check the appropriate box: ? Preliminary Information Statement ? Confidential, For Use of the Commission Only (as Permitted by Rule 14a-6(e)(2)) x Definitive Information Statement NUO THERAPEUTICS, INC. (Name of Regi

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 21, 2016 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (Commission (IRS Employer of Inc

As filed with the Securities and Exchange Commission on November 21, 2016

As filed with the Securities and Exchange Commission on November 21, 2016 Registration File No.

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 11, 2016 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (Commission (IRS Employer of Inc

OFFICE OF THE UNITED STATES TRUSTEE - REGION 3 POST-CONFIRMATION QUARTERLY SUMMARY REPORT This Report is to be submitted for all bank accounts that are presently maintained by the post confirmation debtor.

EX-99.1 2 v453408ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 OFFICE OF THE UNITED STATES TRUSTEE - REGION 3 POST-CONFIRMATION QUARTERLY SUMMARY REPORT This Report is to be submitted for all bank accounts that are presently maintained by the post confirmation debtor. Debtor's Name: Nuo Therapeutics, Inc. Bank: Capital One Bankruptcy Number: 16-10192 (MFW) Account Number: all accounts Date of Confirmation:

NUO THERAPEUTICS, INC. INCENTIVE STOCK OPTION AWARD AGREEMENT FOR EMPLOYEES

Exhibit 10.2 Option Recipient: Total Number of Shares Covered by the Option: NUO THERAPEUTICS, INC. INCENTIVE STOCK OPTION AWARD AGREEMENT FOR EMPLOYEES Nuo Therapeutics, Inc., a Delaware corporation (the ?Company?), is pleased to grant to the Eligible Person signing below (?you? or ?Grantee?) the incentive stock option (the ?Option?) described herein under the Nuo Therapeutics, Inc. 2016 Omnibus

NUO THERAPEUTICS, INC. NONQUALIFIED STOCK OPTION AWARD AGREEMENT

EX-10.3 3 v451840ex10-3.htm EXHIBIT 10.3 Exhibit 10.3 Option Recipient: Total Number of Shares Covered by the Option: NUO THERAPEUTICS, INC. NONQUALIFIED STOCK OPTION AWARD AGREEMENT Nuo Therapeutics, Inc., a Delaware corporation (the “Company”), is pleased to grant to the Eligible Person signing below (“you” or “Grantee”) the stock option (the “Option”) described herein under the Nuo Therapeutics

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

10-Q 1 v45184010q.htm FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2016 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commiss

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2016 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-32518 Nuo Therape

2016 Omnibus Incentive Compensation Plan, as amended and restated (previously filed on October 24, 2016 as Exhibit 10.3 to the Annual Report on Form 10-K and incorporated by reference herein).*

Exhibit 10.3 NUO THERAPEUTICS, INC. 2016 OMNIBUS INCENTIVE COMPENSATION PLAN (As amended and restated by the Board of Directors on August 4, 2016, subject to approval by the Company?s shareholders) Article 1. Effective Date, Objectives and Duration 1.1 Effective Date of the Plan. NUO THERAPEUTICS, INC., a Delaware corporation (the ?Company?), adopted this 2016 Omnibus Incentive Compensation Plan (

Form of Backstop Commitment (previously filed on October 24, 2016 as Exhibit 10.46 to the Annual Report on Form 10-K and incorporated by reference herein).

Exhibit 10.46 BACKSTOP COMMITMENT AGREEMENT This Backstop Commitment Agreement, dated on and as of April 22, 2016 (this ?Agreement?), is made by and among NUO THERAPEUTICS, INC., a Delaware corporation and debtor and debtor-in-possession under Chapter 11 of the United States Bankruptcy Code (the ?Company?), and , an individual (the ?Backstop Purchaser?). WHEREAS, the Company is a debtor and debtor

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2015 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-32518 NUO THERAPEUTIC

Subsidiaries of the Company (previously filed on October 24, 2016 as Exhibit 21.1 to the Annual Report on Form 10-K and incorporated by reference herein).

Exhibit 21.1 The following is a list of the subsidiaries of the Company: SUBSIDIARIES OF THE COMPANY NAME WHERE INCORPORATED Aldagen, Inc. Delaware

Exclusive License and Distribution Agreement, dated as of December 31, 2014, between Nuo Therapeutics, Inc. and Rohto Pharmaceutical Co., Ltd. (previously filed on October 24, 2016 as Exhibit 10.32 to the Annual Report on Form 10-K and incorporated by reference herein).

Exhibit 10.32 EXCLUSIVE LICENSE AND DISTRIBUTION AGREEMENT This Exclusive License And Distribution Agreement (?Agreement?) is made and entered into as of December 31, 2014 (?Effective Date?), between Nuo therapeutics, Inc., (formerly Cytomedix Inc.) a Delaware corporation, with principal office at 207 Perry Parkway, Suite 1, Gaithersburg, MD 20877 (?Nuo?), and ROHTO Pharmaceutical Co., Ltd., a Jap

Collaboration Agreement, dated March 22, 2016, by and between Nuo Therapeutics, Inc. and Restorix Health, Inc. and related Acknowledgement and Waiver (previously filed on October 24, 2016 as Exhibit 10.39 to the Annual Report on Form 10-K and incorporated by reference herein).

Exhibit 10.39 COLLABORATION AGREEMENT THIS COLLABORATION AGREEMENT (the ?Agreement?), is entered into as of March 22, 2016 (the ?Signing Date?) by and between Restorix Health, Inc. (?Restorix? ), a Nevada corporation, with its principal offices at 455 Hamilton Avenue, White Plains, NY 10601, and Nuo Therapeutics, Inc. (?Nuo?), a Delaware corporation, with its principal offices at 207A Perry Parkwa

Form of Securities Purchase Agreement between Nuo Therapeutics, Inc. and the subscriber signatory thereto (previously filed on October 24, 2016 as Exhibit 10.45 to the Annual Report on Form 10-K and incorporated by reference herein).

Exhibit 10.45 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement, dated on and as of April , 2016 (this ?Agreement?), is made by and among NUO THERAPEUTICS, INC., a Delaware corporation and debtor and debtor-in-possession under Chapter 11 of the United States Bankruptcy Code (the ?Company?), the undersigned purchasers (each a ?Purchaser? and collectively, the ?Purchasers?) and each a

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

10-Q 1 v44930810q.htm FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2016 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission

Amendment No. 5 to Licensing and Distribution Agreement, dated as of December 31, 2014, by and between Nuo Therapeutics, Inc. and Millennia Holdings, Inc. (previously filed on October 24, 2016 as Exhibit 10.33 to the Annual Report on Form 10-K and incorporated by reference herein).

Exhibit 10.33 AMENDMENT No. 5 TO LICENSING AND DISTRIBUTION AGREEMENT This Amendment No. 5 to LICENSING AND DISTRIBUTION AGREEMENT (this ?Amendment No. 5?) is dated as of December 31, 2014 by and between Nuo Therapeutics, Inc. (formerly Cytomedix Inc.), a Delaware corporation, with principal office at 207 Perry Parkway, Suite 1, Gaithersburg, MD 20877 (?Nuo? or ?Cytomedix?) and Millennia Holdings,

April 15, 2016

Exhibit 10.40 April 15, 2016 Dean Tozer 2100 Elderton Court Brentwood, TN 37027 Dear Dean: As we have discussed, your last day of work with Nuo Therapeutics, Inc. (?Nuo Therapeutics? or the ?Company?) was January 8, 2016. This letter agreement (?Agreement?) sets forth the terms of your separation from the Company. As this is a legal document, you are advised to consult with an attorney before sign

Exclusive License and Distribution Agreement, dated as of May 5, 2016, between Nuo Therapeutics, Inc. and Boyalife Hong Kong Ltd. (previously filed on October 24, 2016 as Exhibit 10.41 to the Annual Report on Form 10-K and incorporated by reference herein).

Exhibit 10.41 EXCLUSIVE LICENSE AND DISTRIBUTION AGREEMENT This EXCLUSIVE LICENSE AND DISTRIBUTION AGREEMENT (?Agreement?) is made and entered into as of May 5, 2016 (?Effective Date?), between NUO THERAPEUTICS, INC., a Delaware corporation, with principal office at 207A Perry Parkway, Suite 1, Gaithersburg, MD 20877 (?Nuo?), and BOYALIFE HONG KONG LTD., a China corporation, with its principal off

Letter Agreement, dated October 20, 2016, between the Company, Arthrex, Inc. and Deerfield SS, LLC (previously filed on October 24, 2016 as Exhibit 10.47 to the Annual Report on Form 10-K and incorporated by reference herein).

Exhibit 10.47 October 20, 2016 Nuo Therapeutics, Inc. 207A Perry Parkway Suite 1 Gaithersburg, MD 20877 Attention: David Jorden Deerfield SS, LLC 780 Third Avenue New York, NY 10017 Attention: Lawrence Atinksy Re. Nuo/Arthrex/Deerfield Letter Agreement Mr. Jorden and Mr. Atinsky: This letter agreement (?Agreement?) sets forth the agreement between Arthrex, Inc. (?Arthrex?), Deerfield SS, LLC (?Dee

AURX / Nuo Therapeutics, Inc / SHEEDY CHARLES E - SC 13D Activist Investment

SC 13D 1 d248036dsc13d.htm SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 NUO THERAPEUTICS, INC. (Name of Issuer) Common Stock, $.0001 par value per share (Title of Class of Securities) 67059V209 (CUSIP Number) Charles E. Sheedy Two Houston Center, Suite 2907 909 Fannin Street Houston, Texas 77010 Tel: 713-654-4

NUOT / Nuo Therapeutics, Inc. / Boyalife Investment Fund I, Inc. - SCHEDULE 13D Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 NUO THERAPEUTICS, inc. (Name of Issuer) Common Stock, par value $0.0001 (Title of Class of Securities) 67059V100 (CUSIP Number) Xiaochun Xu, PhD, MBA c/o Boyalife Group, Ltd. 800 Jiefang Road East Wuxi City, China 214002 Tel: (+86) 0510-81808111 (Name, Address and Telephon

OFFICE OF THE UNITED STATES TRUSTEE - REGION 3 POST-CONFIRMATION QUARTERLY SUMMARY REPORT This Report is to be submitted for all bank accounts that are presently maintained by the post confirmation debtor.

EX-99.1 2 v447600ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 OFFICE OF THE UNITED STATES TRUSTEE - REGION 3 POST-CONFIRMATION QUARTERLY SUMMARY REPORT This Report is to be submitted for all bank accounts that are presently maintained by the post confirmation debtor. Debtor's Name: Nuo Therapeutics, Inc. Bank: Capital One Bankruptcy Number: 16-10192 (MFW) Account Number: all accounts Date of Confirmation:

OFFICE OF THE UNITED STATES TRUSTEE - REGION 3 POST-CONFIRMATION QUARTERLY SUMMARY REPORT This Report is to be submitted for all bank accounts that are presently maintained by the post confirmation debtor.

EX-99.1 2 v447600ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 OFFICE OF THE UNITED STATES TRUSTEE - REGION 3 POST-CONFIRMATION QUARTERLY SUMMARY REPORT This Report is to be submitted for all bank accounts that are presently maintained by the post confirmation debtor. Debtor's Name: Nuo Therapeutics, Inc. Bank: Capital One Bankruptcy Number: 16-10192 (MFW) Account Number: all accounts Date of Confirmation:

Regulation FD Disclosure, Financial Statements and Exhibits

8-K 1 v4476008k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 22, 2016 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (Comm

Regulation FD Disclosure, Financial Statements and Exhibits

8-K 1 v4476008k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 22, 2016 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (Comm

Nuo Therapeutics FORM 12B-25

NT 10-Q 1 v446882nt10q.htm FORM 12B-25 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC File Number: 001-32518 CUSIP Number: 67059V209 ¨ Form 10-K ¨ Form 20-F ¨ Form 11-K x Form 10-Q ¨ Form 10-D ¨ Form N-SAR ¨ Form N-CSR For Period Ended: June 30, 2016 ¨ Transition Report on Form 10-K ¨ Transition Report on Form 20-F ¨ Transition R

Unregistered Sales of Equity Securities, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 5, 2016 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (Commission (IRS Employer of Incorpora

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 1, 2016 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (Commission (IRS Employer of Incorpor

Changes in Registrant's Certifying Accountant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 15, 2016 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (Commission (IRS Employer of Incorpo

June 10, 2016

Exhibit 16.1 June 10, 2016 U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Ladies and Gentlemen: We have read Nuo Therapeutic Inc.?s (the ?Company?) disclosure set forth in Item 4.01, ?Changes in Registrant?s Certifying Accountant?, in its Current Report on Form 8-K dated June 10, 2016 and are in agreement with such statements concerning our firm. We have no basis to,

Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 1, 2016 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (Commission (IRS Employer of Incorpor

UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE

EX-99.1 2 v441780ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE In re Nuo Therapeutics, Inc. Case No. 16-10192 (MFW) Debtor Reporting Period: April 1 - May 5, 2016 MONTHLY OPERATING REPORT * Required Documents Form No. Document Attached Explanation Attached Affidavit or Supplement Attached Schedule of Cash Receipts and Disbursements MOR-1 ü Bank Re

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 3, 2016 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (Commission (IRS Employer of Incorpor

CMXI FORM 12B-25

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC File Number: 001-32518 CUSIP Number: 67059V 209 ? Form 10-K ? Form 20-F ? Form 11-K x Form 10-Q ? Form 10-D ? Form N-SAR ? Form N-CSR For Period Ended: March 31, 2016 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report on Form 11-K ? Transition Repor

NUOT / Nuo Therapeutics, Inc. / Flynn James E Activist Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D [Rule 13d-101] INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 24.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13D-2(a) (Amendment No. 7)* Nuo Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 67059V100 (CUSIP Number) David Clark Deerfield Mgmt,

Form of Registration Rights Agreement between Nuo Therapeutics, Inc. and the stockholders listed on Schedule I thereto (previously filed on May 10, 2016 as Exhibit 10.3 to the Current Report on Form 8-K and incorporated by reference herein).

EX-10.3 5 v439455ex10-3.htm EXHIBIT 10.3 EXHIBIT 10.3 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (as amended from time to time, this “Agreement”) is dated as of April 22, 2016, and is between NUO THERAPEUTICS, INC., a Delaware corporation (the “Company”), and the stockholders listed on Schedule 1 hereto (collectively, the “Stockholders” and, each individually, a “Stockholder”

TRANSITION SERVICES AGREEMENT

EX-10.2 4 v439455ex10-2.htm EXHIBIT 10.2 EXHIBIT 10.2 TRANSITION SERVICES AGREEMENT This Transition Services Agreement is dated as of May 5, 2016 (this “Agreement”), by and between Deerfield SS, LLC, a Delaware limited liability company (“Deerfield”) and Nuo Therapeutics, Inc. (“Nuo”, and collectively with Deerfield, the “Parties”, and each individually a “Party”). RECITALS: WHEREAS, on January 26

Changes in Control of Registrant, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement, Material Modification to Rights of Security Holders, Unregistered Sales of Equity Securities, Financial Statements and Exhibits

8-K 1 v4394558k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 5, 2016 Nuo Therapeutics, Inc. (Exact name of Registrant as Specified in Charter) Delaware 001-32518 23-3011702 (State or Other Jurisdiction (Commissi

Assignment and Assumption Agreement, dated as of May 5, 2016, by and between Nuo Therapeutics, Inc., and Deerfield SS, LLC (previously filed on May 10, 2016 as Exhibit 10.1 to the Current Report on Form 8-K and incorporated by reference herein).

EX-10.1 3 v439455ex10-1.htm EXHIBIT 10.1 EXHIBIT 10.1 ASSIGNMENT AND ASSUMPTION AGREEMENT This Assignment and Assumption Agreement (this “Agreement”) is entered into as of May 5, 2016 (the “Closing Date”) by and between NUO THERAPEUTICS, INC. (f/k/a Cytomedix, Inc.), a Delaware corporation, with its principal office at 209A Perry Parkway, Suite 1, Gaithersburg, MD 20877 (the “Assignor”) and DEERFI

Certificate of Designation of Series A Preferred Stock of Nuo Therapeutics, Inc. (previously filed on May 10, 2016 as Exhibit 3.3 to the registrant’s Current Report on Form 8-K and incorporated by reference herein).

EXHIBIT 3.3 CERTIFICATE OF DESIGNATION OF SERIES A PREFERRED STOCK OF NUO THERAPEUTICS, INC. Pursuant to Section 151 of the General Corporation Law of the State of Delaware NUO THERAPEUTICS, INC., a Delaware corporation (the ?Corporation?), does hereby certify that pursuant to the authority conferred upon the Corporation?s board of directors (together with any duly authorized committee thereof, th

Form of Warrant (previously filed on May 10, 2016 as Exhibit 10.4 to the Current Report on Form 8-K and incorporated by reference herein).

EXHIBIT 10.4 THIS WARRANT AND THE SECURITIES ISSUABLE UPON THE EXERCISE HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED. THEY MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, HYPOTHECATED, OR OTHERWISE TRANSFERRED EXCEPT PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933, AS AMENDED OR AN OPINION OF COUNSEL SATISFACTORY TO THE COMPANY THAT REGI

Amended and Restated By-Laws of Nuo Therapeutics, Inc. (previously filed on May 10, 2016 as Exhibit 3.2 to the registrant’s Registration Statement on Form 8-A and incorporated by reference herein).

EX-3.2 3 v439454ex3-2.htm EXHIBIT 3.2 EXHIBIT 3.2 AMENDED AND RESTATED BY-LAWS OF NUO THERAPEUTICS, INC., a Delaware corporation (the “Corporation”) (Adopted as of May 5, 2016) AMENDED AND RESTATED BY-LAWS OF NUO THERAPEUTICS, INC. ARTICLE I OFFICES Section 1.1 Registered Office. The registered office of the Corporation within the State of Delaware shall be located at either (a) the principal plac

Nuo Therapeutics 8-A12G

8-A12G 1 v4394548-a12g.htm 8-A12G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 NUO THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) Delaware 23-3011702 (State or other jurisdiction of incorporation) (IRS Employer Identi

Second Amended and Restated Certificate of Incorporation of Nuo Therapeutics, Inc. (previously filed on May 10, 2016 as Exhibit 3.1 to the registrant’s Registration Statement on Form 8-A and incorporated by reference herein).

EXHIBIT 3.1 SECOND AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF NUO THERAPEUTICS, INC. Nuo Therapeutics, Inc., a corporation organized and existing under the laws of the State of Delaware (the ?Corporation?), DOES HEREBY CERTIFY AS FOLLOWS: 1. The name of the Corporation is ?Nuo Therapeutics, Inc.? The Corporation was originally incorporated under the name ?Informatix Holdings, Inc.?, and

Modified First Amended Plan of Reorganization of Nuo Therapeutics, Inc. (previously filed on April 28, 2016 as Exhibit 2.1 to the Current Report on Form 8-K and incorporated by reference herein).

EX-2.1 2 v438210ex2-1.htm EXHIBIT 2.1 Exhibit 2.1 IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE In re: Nuo Therapeutics, Inc., Debtor. Chapter 11 Case No. 16-10192 (MFW) Modified First Amended PLAN OF REORGANIZATION OF THE DEBTOR ASHBY & GEDDES, P.A. William P. Bowden (No. 2553) Karen B. Skomorucha Owens (No. 4759) Stacy L. Newman (No. 5044) 500 Delaware Avenue, P.O. Box 1150