SEC Form 4/A · accession 0001596771-18-000063
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
Steven Frank Brandt
Director
Period of report
May 25, 2018
Accepted (ET)
May 29, 2018 · 4:26 pm EDT
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,F2 | $3.01 | May 25, 2018 | A | 10,000 | A | — | May 24, 2028 | Common Stock | 10,000 | 10,000 | D |
Explanation of responses
- F1On May 18, 2018, the reporting person mistakenly filed a Form 4 reporting the grant of an option to purchase 10,000 shares of common stock on May 16, 2018 that did not in fact occur. Such grant was not made until May 25, 2018, as reflected in this amended form.
- F2Vests 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.