Form 4 for NUWE Nuwellis, Inc.
Accepted 2025-06-11 00:00:00 ET · period of report 2025-06-09 · accession 0001213867-25-000003 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2025-06-11 | 2025-06-09+ | NUWE | ERB JOHN L | CEO, Pres, Dir, 10% | C - Cnv Deriv | $0.06 | +1.10M | 1.09M | New | +$66.0K |
| DM | 2025-06-11 | 2025-06-09 | NUWE | ERB JOHN L | CEO, Pres, Dir, 10% | J - Other | — | 0 | 100 | New | — |
| D | 2025-06-11 | 2025-06-09 | NUWE | ERB JOHN L | CEO, Pres, Dir, 10% | C - Cnv Deriv | — | -66 | 34 | -66% | — |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2025-06-10 | C | A | 7,522 | $0.06 | 1,100,022 | D | — | — | |
| 2 | Common | Common Stock | 2025-06-09 | C | A | 1,092,500 | $0.06 | 1,092,500 | D | — | — | |
| 3 | Derivative | Series F Convertible Preferred Stock | 2025-06-09 | J | D | 100 | — | 0 | D | $0.06 · 2017-11-22 to — | 1,666,667 Common Stock | (F1) On June 9, 2025, the Issuer entered into a Securities Exchange Agreement with the Reporting Person, pursuant to which the Issuer agreed to issue 100 shares of its newly designated Series F-1 Convertible Preferred Stock ("F-1 Stock") in exchange for 100 shares of its outstanding Series F Convertible Preferred Stock ("F Stock"). Each share of F-1 Stock and F Stock has a stated value of $1,000. (F2) The preferred stock has no expiration date. |
| 4 | Derivative | Series F-1 Convertible Preferred Stock | 2025-06-09 | C | D | 66 | — | 34 | D | $0.06 · 2025-06-09 to — | 1,100,022 Common Stock | (F3) The Reporting Person's shares of Series F-1 Convertible Preferred Stock are convertible into shares of common stock, par value $0.0001 per share, subject to a 19.99% beneficial ownership limitation. (F2) The preferred stock has no expiration date. |
| 5 | Derivative | Series F-1 Convertible Preferred Stock | 2025-06-09 | J | A | 100 | — | 100 | D | $0.06 · 2025-06-09 to — | 1,666,667 Common Stock | (F1) On June 9, 2025, the Issuer entered into a Securities Exchange Agreement with the Reporting Person, pursuant to which the Issuer agreed to issue 100 shares of its newly designated Series F-1 Convertible Preferred Stock ("F-1 Stock") in exchange for 100 shares of its outstanding Series F Convertible Preferred Stock ("F Stock"). Each share of F-1 Stock and F Stock has a stated value of $1,000. (F2) The preferred stock has no expiration date. |