SEC Form 4 · accession 0001596771-15-000007
Nuwellis, Inc. · NUWE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Claudia Drayton
Officer — Chief Financial Officer
Period of report
Jan 5, 2015
Accepted (ET)
Jan 6, 2015 · 4:55 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001506492
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-qualified Stock OptionF1 | $4.48 | Jan 5, 2015 | A | 110,000 | A | — | Jan 5, 2025 | Common Stock | 110,000 | 110,000 | D |
Explanation of responses
- F125% of the options will vest on each of the first, second, third and fourth anniversaries of the Date of Grant, contingent on Ms. Drayton's continued service with the Issuer.