Sec Form 4 Filing - CLAUSEN PETER @ Nuo Therapeutics, Inc. - 2017-01-09

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
CLAUSEN PETER
2. Issuer Name and Ticker or Trading Symbol
Nuo Therapeutics, Inc. [ NONE]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
CSO
(Last) (First) (Middle)
C/O NUO THERAPEUTICS, INC., 207A PERRY PKWY STE 1
3. Date of Earliest Transaction (MM/DD/YY)
01/09/2017
(Street)
GAITHERSBURG, MD20877
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Option to purchase Common Stock $ 1 01/09/2017( 1 ) A 80,000 ( 2 ) 07/01/2026 Common Stock 80,000 $ 0 80,000 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
CLAUSEN PETER
C/O NUO THERAPEUTICS, INC.
207A PERRY PKWY STE 1
GAITHERSBURG, MD20877
CSO
Signatures
/s/ Peter A. Clausen 01/11/2017
Signature of Reporting Person Date
Explanation of Responses:
( 1 )The grant of these options was approved by the issuer's board of directors on July 1, 2016, subject to stockholder approval of the 2016 Omnibus Incentive Compensation Plan under which the options were granted. Stockholder approval was obtained by means of a written consent and the issuer filed a related Information Statement on Schedule 14C with the SEC on November 25, 2016. The stockholder approval became effective on January 9, 2017. The option grant disclosed herein does not include options to purchase 95,000 shares subject to performance conditions, which have not yet vested and are therefore not yet reportable on Form 4.
( 2 )Of these options, 40,000 vested on 9/29/16 and 40,000 will vest on 12/31/17.

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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