SEC Form 4/A · accession 0001596771-15-000016
Nuwellis, Inc. · NUWE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Claudia Drayton
Officer — Chief Financial Officer
Period of report
Jan 5, 2015
Accepted (ET)
Feb 3, 2015 · 4:19 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
- F1This amendment is being filed to reflect the correct vesting schedule for shares underlying the option: 25% of the shares will vest on the one-year anniversary of the date of grant; the remaining shares will vest in 36 equal consecutive increments thereafter, so that all of the shares will be vested on the four-year anniversary of the date of grant.