0001506492-24-000001.txt : 20240802 0001506492-24-000001.hdr.sgml : 20240802 20240802150558 ACCESSION NUMBER: 0001506492-24-000001 CONFORMED SUBMISSION TYPE: D PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20240802 DATE AS OF CHANGE: 20240802 EFFECTIVENESS DATE: 20240802 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Nuwellis, Inc. CENTRAL INDEX KEY: 0001506492 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] ORGANIZATION NAME: 08 Industrial Applications and Services IRS NUMBER: 680533453 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D SEC ACT: 1933 Act SEC FILE NUMBER: 021-520502 FILM NUMBER: 241170406 BUSINESS ADDRESS: STREET 1: 12988 VALLEY VIEW ROAD CITY: EDEN PRAIRIE STATE: MN ZIP: 55344 BUSINESS PHONE: 952-345-4200 MAIL ADDRESS: STREET 1: 12988 VALLEY VIEW ROAD CITY: EDEN PRAIRIE STATE: MN ZIP: 55344 FORMER COMPANY: FORMER CONFORMED NAME: CHF Solutions, Inc. DATE OF NAME CHANGE: 20170523 FORMER COMPANY: FORMER CONFORMED NAME: Sunshine Heart, Inc. DATE OF NAME CHANGE: 20101124 D 1 primary_doc.xml X0708 D LIVE 0001506492 Nuwellis, Inc. 12988 VALLEY VIEW ROAD EDEN PRAIRIE MN MINNESOTA 55344 952-345-4200 DELAWARE CHF Solutions, Inc. Sunshine Heart, Inc. Corporation true John L. Erb 12988 Valley View Road Eden Prairie MN MINNESOTA 55344 Director Nestor Jaramillo, Jr. 12988 Valley View Road Eden Prairie MN MINNESOTA 55344 Executive Officer Director Maria Rosa Costanzo, M.D. 12988 Valley View Road Eden Prairie MN MINNESOTA 55344 Director Mike McCormick 12988 Valley View Road Eden Prairie MN MINNESOTA 55344 Director Gregory Waller 12988 Valley View Road Eden Prairie MN MINNESOTA 55344 Director Archelle Georgiou, M.D. 12988 Valley View Road Eden Prairie MN MINNESOTA 55344 Director Neil P. Ayotte 12988 Valley View Road Eden Prairie MN MINNESOTA 55344 Executive Officer Dave Kendrick McDonald 12988 Valley View Road Eden Prairie MN MINNESOTA 55344 Director Rob Scott 12988 Valley View Road Eden Prairie MN MINNESOTA 55344 Executive Officer Other Health Care $5,000,001 - $25,000,000 06b false 2024-07-25 false true true false 0 Roth Capital Partners, LLC 15407 None None 888 San Clemente Suite 400 Newport Beach CA CALIFORNIA 92660 CT CONNECTICUT IL ILLINOIS FL FLORIDA NV NEVADA NY NEW YORK false Indefinite 0 Indefinite Concurrently with a registered direct offering, warrants to purchase up to 938,680 shares of common stock were issued in a private placement. The total offering amount excludes proceeds totaling up to $3,745,334 from the exercise of the warrants. false 7 139301 true 0 A fee equal to 7% of the gross proceeds of the concurrent registered direct offering were paid to the placement agent. 0 false Nuwellis, Inc. /s/ Rob Scott Rob Scott Chief Financial Officer 2024-08-02