0001506492-24-000004.txt : 20241120 0001506492-24-000004.hdr.sgml : 20241120 20241120132954 ACCESSION NUMBER: 0001506492-24-000004 CONFORMED SUBMISSION TYPE: D PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20241120 DATE AS OF CHANGE: 20241120 EFFECTIVENESS DATE: 20241120 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: 021-529957 FILM NUMBER: 241479649 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 2024-11-06 false true true false 0 Ladenburg Thalmann & Co. Inc. 505 None None 640 5th Avenue 4th Floor New York NY NEW YORK 10019 CT CONNECTICUT DE DELAWARE IL ILLINOIS FL FLORIDA NV NEVADA NY NEW YORK CA CALIFORNIA false 3848286 3848286 0 In connection with a warrant inducement offering, warrants to purchase up to 3,720,010 shares of common stock were issued in a private placement. The offering amount excludes proceeds of up to $7,300,658 from the exercise of the warrants. false 9 382863 true 0 A fee equal to 8% of the gross proceeds received from the Inducement Offer will be paid to the placement agent, along with legal fees and expenses, and warrants to purchase up to 54,976 shares of common stock at an exercise price of $3.465. 0 false Nuwellis, Inc. /s/ Rob Scott Rob Scott Chief Financial Officer 2024-11-20