SEC Form 4 · accession 0001140361-18-031727
Nuwellis, Inc. · NUWE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John L Erb
Officer — CEO and President · Director
Period of report
Jul 3, 2018
Accepted (ET)
Jul 6, 2018 · 10:40 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001506492
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Jul 3, 2018 | P | 23,584 | $2.12 | A | 29,355 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person purchased shares of common stock in an underwritten public offering by the issuer. The offering closed on July 3, 2018.
- F2On October 12, 2017, the Issuer effected a 1-for-20 reverse stock split of the issued and outstanding shares of its common stock. Upon effectiveness of the reverse stock split, every 20 shares of common stock was automatically converted into one share of common stock.