SEC Form 4 · accession 0001596771-15-000004
Nuwellis, Inc. · NUWE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William S Peters
Officer — CTO & Medical Director
Period of report
Jan 1, 2015
Accepted (ET)
Jan 2, 2015 · 4:47 pm EST
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 | Jan 1, 2015 | F | 680 | $4.24 | D | 33,309 | D | |
| Common Stock | holding | — | — | — | 7,250 | I | By Peters JAM Trust | |
| Common Stock | holding | — | — | — | 11,384 | I | By Peters Apollo Trust | |
| Common Stock | holding | — | — | — | 35 | I | By Daughter | |
| Common Stock | holding | — | — | — | 53 | I | By Son - I | |
| Common Stock | holding | — | — | — | 35 | I | By Son - II |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1680 shares were withheld to satisfy the insider's tax withholding obligation related to the vesting of 2,060 RSUs.