SEC Form 4 · accession 0001596771-16-000173
Nuwellis, Inc. · NUWE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Claudia Drayton
Officer — Chief Financial Officer
Period of report
Dec 15, 2016
Accepted (ET)
Dec 16, 2016 · 4:05 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 | Dec 15, 2016 | F | 1,629 | $0.47 | D | 24,481 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F11,629 shares were withheld to satisfy the insider's tax withholding obligation related to the vesting of 3,200 RSUs.