SC 13G/A: Nuo Therapeutics, Inc.

AI Summary

SC 13G/A filing by Nuo Therapeutics, Inc..

Risk Assessment

Risk Level: low

FAQ

Filing Documents

• e664015_sc13ga-nti.htm (SC 13G/A) — 109KB
• 0001193805-24-001361.txt ( ) — 111KB

(a)

Item 1(a). Name of Issuer: Nuo Therapeutics, Inc.

(b)

Item 1(b). Address of Issuer's Principal Executive Offices: 8285 El Rio, Suite 190 Houston, TX 77054

(a)

Item 2(a). Name of Person Filing: James E. Flynn, Deerfield Mgmt, L.P., Deerfield Private Design Fund II, L.P., Deerfield PDI Financing II, L.P. and Deerfield Management Company, L.P.

(b)

Item 2(b). Address of Principal Business Office, or if None, Residence: James E. Flynn, Deerfield Mgmt, L.P., Deerfield Private Design Fund II, L.P., Deerfield PDI Financing II, L.P. and Deerfield Management Company, 345 Park Avenue South, 12th Floor, New York, NY 10010

(c)

Item 2(c). Citizenship: Deerfield Mgmt, L.P., Deerfield Management Company, L.P. and Deerfield Private Design Fund II, L.P. - Delaware limited partnerships; Deerfield PDI Financing II, L.P. – British Virgin Islands limited partnership; James E. Flynn – United States citizen

(d)

Item 2(d). Title of Class of Securities: Common Stock

(e)

Item 2(e). CUSIP Number: 67059V209 Item 3. If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a: (a) Broker or dealer registered under Section 15 of the Exchange Act. (b) Bank as defined in Section 3(a)(6) of the Exchange Act. (c) Insurance company as defined in Section 3(a)(19) of the Exchange Act. (d) Investment company registered under Section 8 of the Investment Company Act. (e) An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); (f) An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); CUSIP No. 67059V209 13G Page 8 of 10 (h) A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J); (k) Group, in accordance with Rule 13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J), please specify the type of institution: _________________ Item 4. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned**: Deerfield Mgmt, L.P. - 1,026,324 shares Deerfield Management Company, L.P. - 1,026,324 shares Deerfield Private Design Fund II, L.P. - 478,069 shares Deerfield PDI Financing II, L.P. - 548,255 shares James E. Flynn – 1,026,324 shares (b) Percent of class**: Deerfield Mgmt, L.P. – 2.20% Deerfield Management Company, L.P. - 2.20% Deerfield Private Design Fund II, L.P. – 1.03% Deerfield PDI Financing II, L.P. – 1.18% James E. Flynn – 2.20% (c) Number of shares as to which such person ha

Statement

Item 8 Statement. Exhibit C. Power of Attorney (1). (1) Power of Attorney previously filed as Exhibit 24 to a Form 3 with regard to BiomX Inc. filed with the Securities and Exchange Commission on March 19, 2024 by Deerfield Private Design Fund V, L.P., Deerfield Healthcare Innovations Fund II, L.P., Deerfield Mgmt V, L.P., Deerfield Mgmt HIF II, L.P., Deerfield Management Company, L.P. and James E. Flynn. Exhibit A Joint Filing Agreement The undersigned agree that this Schedule 13G, and all amendments thereto, relating to the Common Stock of Nuo Therapeutics, Inc. shall be filed on behalf of the undersigned. DEERFIELD MGMT, L.P. By: J.E. Flynn Capital, LLC, General Partner By: /s/ Jonathan Isler Jonathan Isler, Attorney-In-Fact DEERFIELD MANAGEMENT COMPANY, L.P. By: Flynn Management LLC, General Partner By: /s/ Jonathan Isler Jonathan Isler, Attorney-In-Fact DEERFIELD PRIVATE DESIGN FUND II, L.P. By: Deerfield Mgmt, L.P., General Partner By: J.E. Flynn Capital, LLC, General Partner By: /s/ Jonathan Isler Jonathan Isler, Attorney-In-Fact DEERFIELD PDI FINANCING II, L.P. By: Deerfield Mgmt, L.P., General Partner By: J.E. Flynn Capital, LLC, General Partner By: /s/ Jonathan Isler Jonathan Isler, Attorney-In-Fact JAMES E. FLYNN /s/ Jonathan Isler Jonathan Isler, Attorney-In-Fact Exhibit B Due to the relationships between them, the reporting persons hereunder may be deemed to constitute a “group” with one another for purposes of Section 13(d)(3) of the Securities Exchange Act of 1934.

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