SEC Form 4 · accession 0001596771-18-000004
Nuwellis, Inc. · NUWE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven Frank Brandt
Director
Period of report
Jan 17, 2018
Accepted (ET)
Jan 19, 2018 · 4:18 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Nonstatutory Stock Option (right to buy)F1 | $3.55 | Jan 17, 2018 | A | 33,004 | A | — | Jan 16, 2028 | Common Stock | 33,004 | 33,004 | D |
Explanation of responses
- F1Vests in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the one-year anniversary of the date of grant.