SEC Form 4 · accession 0001596771-17-000006
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
Nov 23, 2015
Accepted (ET)
Feb 1, 2017 · 4:46 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 | Nov 23, 2015 | S | 1 | $52.80 | D | 760 | D | |
| Common StockF1 | Nov 21, 2016 | S | 20 | $5.27 | D | 740 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares were sold through a broker initiated transaction to cover account maintenance fees, without Ms. Drayton's specific authorization.