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<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>UNITED STATES<br>
<font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">SECURITIES AND EXCHANGE COMMISSION</font></b></p>

<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>Washington, D.C. 20549</b></p>

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<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>FORM 8-K</b></p>

<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>

<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>

<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>CURRENT REPORT</b></p>

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<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934</b></p>

<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>&nbsp;</b></p>

<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>Date of report (Date of earliest event reported): </b><font style="font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>May </b><b>5</b><b>, 20</b><b>1</b><b>7</b></font></p>

<p style="margin: 0pt; text-align: center; text-indent: 0pt; font-family: Times New Roman, Times, serif; font-size: 10pt;"><font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</font></p>

<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 12pt;"><b>Nuo Therapeutics, Inc.</b></p>

<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;">(Exact name of Registrant as Specified in Charter)</p>

<p style="margin: 0pt; text-align: left; text-indent: 36pt; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>

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			<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>001-32518</b></p>
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			<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>23-3011702</b></p>
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			<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;">(State or Other Jurisdiction</p>
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			<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;">(Commission</p>
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			<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;">(IRS Employer</p>
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			<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;">of Incorporation)</p>
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			<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;">File Number)</p>
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			<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;">Identification No.)</p>
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<p style="margin: 0pt; text-align: center; text-indent: 36pt; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>&nbsp;</b></p>

<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>207A Perry Parkway, Suite 1, Gaithersburg, MD 20877</b></p>

<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;">(Address of Principal Executive Offices) (Zip Code)</p>

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<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>(240) 499-2680</b></p>

<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;">(Registrant<font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">&rsquo;s telephone number, including area code)</font></p>

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<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>N/A</b></p>

<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;">(Former Name or Former Address, if Changed Since Last Report)</p>

<p style="margin: 0pt; text-align: center; text-indent: 36pt; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>

<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:</p>

<p style="margin: 0pt; text-align: left; text-indent: 36pt; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>

<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">&#9744;<font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;&nbsp;&nbsp;Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</font></p>

<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">&#9744;<font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;&nbsp;&nbsp;Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</font></p>

<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">&#9744;<font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;&nbsp;&nbsp;Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</font></p>

<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">&#9744;<font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;&nbsp;&nbsp;Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</font></p>

<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>

<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 or Rule 12b-2 of the Securities Exchange Act of 1934.</p>

<p style="margin: 0pt; text-align: left; text-indent: 36pt; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>

<p style="margin: 0pt; border-image: none; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">Emerging growth company &#9744;</p>

<p style="margin: 0pt; text-align: left; text-indent: 36pt; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>

<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. &#9744;</p>

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<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>Item </b><font style="font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>5.07.&nbsp;&nbsp;&nbsp; &nbsp;&nbsp;&nbsp;&nbsp;Submission of Matters to a Vote of Security Holders.</b></font></p>

<p style="font-family: Times New Roman, Times, serif; font-size: 10pt; margin-top: 0pt; margin-bottom: 0pt;">&nbsp;</p>

<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">On <font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">April 28, 2017, Nuo Therapeutics, Inc. (the &ldquo;Company&rdquo;) filed with the Securities and Exchange Commission a Definitive Schedule 14A Consent Solicitation Statement (the &ldquo;Consent Solicitation&rdquo;) and thereafter mailed the Consent Solicitation to the Company&rsquo;s stockholders of record as of April 25, 2017 (the &ldquo;Record Date&rdquo;).</font></p>

<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>

<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">The Consent Solici<font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">tation solicited written consents of the Company&rsquo;s stockholders approving and authorizing an amendment (the &ldquo;Amendment&rdquo;) to the Company&rsquo;s second amended and restated certificate of incorporation for the purposes of effecting a reverse stock split (the &ldquo;Reverse Split&rdquo;) of the Company&rsquo;s outstanding common stock, par value $0.0001 per share (the &ldquo;Common Stock&rdquo;), at a specific ratio (the &ldquo;Reverse Ratio&rdquo;) within a range from 1-for-2 to 1-for-4 and to authorize the Company&rsquo;s Board of Directors to determine, in its discretion, the timing of the Amendment and the specific Reverse Ratio, so long as the Reverse Split is effected at any time prior to December 31, 2017.</font></p>

<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>

<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">As of the Record Date, the Company had <font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">9,927,112 shares of Common Stock and 29,038 shares of its Series A preferred stock, par value $0.0001 per share (the &ldquo;Series A Preferred Stock&rdquo;), issued and outstanding. Accordingly, the votes or written consents of stockholders holding at least 4,963,557 shares of the issued and outstanding Common Stock, or at least 4,818,367 shares of the issued and outstanding Common Stock and all 29,038 shares of the issued and outstanding Series A Preferred Stock, were necessary to approve the Amendment.</font></p>

<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>

<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">As of <font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">May 5, 2017, the Company received the written consent of more than a majority of the voting power of its capital stock outstanding as of the Record Date in favor of the Amendment and terminated the Consent Solicitation period.</font></p>

<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>

<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">The final vote tabulation on the Amendment <font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">prior to termination of the Consent Solicitation period was as follows:</font></p>

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			<td style="width: 20%;"><u>Consent (For)</u><font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;&nbsp;&nbsp;&nbsp;</font></td>
			<td style="width: 24%;"><font style="font-family: Times New Roman, Times, serif; font-size: 10pt;"><u>Consent Withheld (Against)</u>&nbsp;&nbsp;&nbsp;&nbsp;</font></td>
			<td style="width: 10%; text-align: center;"><font style="font-family: Times New Roman, Times, serif; font-size: 10pt;"><u>Abstain</u></font></td>
			<td style="width: 46%;">&nbsp;</td>
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			<td style="width: 20%;"><font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp; 5,077,201</font></td>
			<td style="width: 24%;"><font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; 0&nbsp;&nbsp;&nbsp;</font></td>
			<td style="width: 10%; text-align: center;"><font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">0</font></td>
			<td style="width: 46%; background-color: rgb(255, 255, 255);">&nbsp;</td>
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<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;"><font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</font></p>

<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">On <font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">May 8, 2017, the Company issued a press release announcing the stockholders&rsquo; approval of the Reverse Split, which is attached hereto as Exhibit 99.1.</font></p>

<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>&nbsp;</b></p>

<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>Item 9.01. Financial Statements and Exhibits. </b></p>

<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>

<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">(d) Exhibits</p>

<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>

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			<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;"><u>Exhibit Number</u><font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</font></p>
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			<td style="width: 80%; vertical-align: top;">
			<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;"><font style="font-family: Times New Roman, Times, serif; font-size: 10pt;"><u>Description</u></font></p>
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			<td style="width: 20%; vertical-align: top;">99.1</td>
			<td style="width: 80%; vertical-align: top;">Press Release of Nuo Therapeutics, Inc., dated <font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">May 8, 2017</font></td>
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<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>SIGNATURES</b></p>

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<p style="margin: 0pt; text-align: left; text-indent: 36pt; font-family: Times New Roman, Times, serif; font-size: 10pt;">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.</p>

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			<td colspan="2" style="width: 38.2%; vertical-align: top;">
			<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>Nuo Therapeutics, Inc.</b></p>
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			<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">By:<font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;&nbsp;</font></p>
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			<td style="width: 33.9%; vertical-align: top; border-bottom-color: rgb(0, 0, 0); border-bottom-width: 1px; border-bottom-style: solid;">
			<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">/s/ David E. Jorden</p>
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			<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>
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			<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>
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			<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">David E. Jorden</p>
			</td>
			<td style="width: 8.9%; vertical-align: top;">
			<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>
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			<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>
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			<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">Chief Executive Officer <font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">and<br>
			Chief Financial Officer</font></p>
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<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">Date: <font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">May 8, 2017</font></p>

<p style="margin: 0pt; text-align: left; text-indent: 36pt; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>

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nuot20170508_8k.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
, 20
1
7
Nuo Therapeutics, Inc.
(Exact name of Registrant as Specified in Charter)
Delaware
001-32518
23-3011702
(State or Other Jurisdiction
(Commission
(IRS Employer
of Incorporation)
File Number)
Identification No.)
207A Perry Parkway, Suite 1, Gaithersburg, MD 20877
(Address of Principal Executive Offices) (Zip Code)
(240) 499-2680
(Registrant
's telephone number, including area code)
N/A
(Former Name or Former Address, if Changed Since Last Report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
☐
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 or Rule 12b-2 of the Securities Exchange Act of 1934.
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item
5.07.        Submission of Matters to a Vote of Security Holders.
On
April 28, 2017, Nuo Therapeutics, Inc. (the "Company") filed with the Securities and Exchange Commission a Definitive Schedule 14A Consent Solicitation Statement (the "Consent Solicitation") and thereafter mailed the Consent Solicitation to the Company's stockholders of record as of April 25, 2017 (the "Record Date").
The Consent Solici
tation solicited written consents of the Company's stockholders approving and authorizing an amendment (the "Amendment") to the Company's second amended and restated certificate of incorporation for the purposes of effecting a reverse stock split (the "Reverse Split") of the Company's outstanding common stock, par value $0.0001 per share (the "Common Stock"), at a specific ratio (the "Reverse Ratio") within a range from 1-for-2 to 1-for-4 and to authorize the Company's Board of Directors to determine, in its discretion, the timing of the Amendment and the specific Reverse Ratio, so long as the Reverse Split is effected at any time prior to December 31, 2017.
As of the Record Date, the Company had
9,927,112 shares of Common Stock and 29,038 shares of its Series A preferred stock, par value $0.0001 per share (the "Series A Preferred Stock"), issued and outstanding. Accordingly, the votes or written consents of stockholders holding at least 4,963,557 shares of the issued and outstanding Common Stock, or at least 4,818,367 shares of the issued and outstanding Common Stock and all 29,038 shares of the issued and outstanding Series A Preferred Stock, were necessary to approve the Amendment.
As of
May 5, 2017, the Company received the written consent of more than a majority of the voting power of its capital stock outstanding as of the Record Date in favor of the Amendment and terminated the Consent Solicitation period.
The final vote tabulation on the Amendment
prior to termination of the Consent Solicitation period was as follows:
Consent (For)
Consent Withheld (Against)
Abstain
5,077,201
0
0
On
May 8, 2017, the Company issued a press release announcing the stockholders' approval of the Reverse Split, which is attached hereto as Exhibit 99.1.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits
Exhibit Number
Description
99.1
Press Release of Nuo Therapeutics, Inc., dated
May 8, 2017
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Nuo Therapeutics, Inc.
By:
/s/ David E. Jorden
David E. Jorden
Chief Executive Officer
and
Chief Financial Officer
Date:
May 8, 2017