Nuwellis Inc
For the period ended Mar 31, 2024. Filed May 8, 2024.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Mar 31, 2024 · Filed May 8, 2024
NUWE$4.58-1.7%Stored close · as of Nov 6, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 6. Exhibits
| ITEM 6. | EXHIBITS |
|---|
The exhibits filed as part of this Quarterly Report on Form 10-Q are listed in the Exhibit Index below.
Exhibit Index
Nuwellis, Inc.
Form 10-Q for the Quarterly Period Ended March 31, 2024
| Incorporated By Reference | |||||
|---|---|---|---|---|---|
| Exhibit Number · Exhibit Description · Form · File Number · Date of First Filing · Exhibit Number · Filed Herewith · Furnished Herewith | |||||
| 3.1 | Fourth Amended and Restated Certificate of Incorporation | 10 | 001-35312 | February 1, 2012 | 3.1 |
| 3.2 | Certificate of Amendment to the Fourth Amended and Restated Certificate of Incorporation | 8-K | 001-35312 | January 13, 2017 | 3.1 |
| 3.3 | Certificate of Amendment to the Fourth Amended and Restated Certificate of Incorporation | 8-K | 001-35312 | May 23, 2017 | 3.1 |
| 3.4 | Certificate of Amendment to the Fourth Amended and Restated Certificate of Incorporation | 8-K | 001-35312 | October 12, 2017 | 3.1 |
| 3.5 | Certificate of Amendment to the Fourth Amended and Restated Certificate of Incorporation | 8-K/A | 001-35312 | October 16, 2020 | 3.1 |
| 3.6 | Certificate of Amendment to the Fourth Amended and Restated Certificate of Incorporation | 8-K | 001-35312 | January 2, 2019 | 3.1 |
| 3.7 | Certificate of Amendment to the Fourth Amended and Restated Certificate of Incorporation | 8-K | 001-35312 | April 27, 2021 | 3.1 |
| 3.8 | Certificate of Amendment to the Fourth Amended and Restated Certificate of Incorporation | 8-K | 001-35312 | December 9, 2022 | 3.1 |
| 3.9 | Form of Certificate of Designation of Series A Junior Participating Preferred Stock | 8-K | 001-35312 | June 14, 2013 | 3.1 |
| 3.10 | Form of Certificate of Designation of Preferences, Rights and Limitations of Series F Convertible Preferred Stock | S-1/A | 333-221010 | November 17, 2017 | 3.7 |
| 3.11 | Form of Certificate of Designation of Preferences, Rights and Limitations of Series I Convertible Preferred Stock | 8-K | 001-35312 | October 18, 2022 | 3.1 |
| 3.12 | Certificate of Designation of Preferences, Rights and Limitations of Series J Convertible Preferred Stock | 8-K | 001-35312 | October 17, 2023 | 3.1 |
| Incorporated By Reference | |||||||
| Exhibit Number | Exhibit Description | Form | File Number | Date of First Filing | Exhibit Number | Filed Herewith | Furnished Herewith |
|---|---|---|---|---|---|---|---|
| 3.13 | Third Amended and Restated Bylaws | 8-K | 001-35312 | April 27, 2021 | 3.2 | ||
| 3.14 | Amendment to Third Amended and Restated Bylaws | 8-K | 001-35312 | October 5, 2022 | 3.1 | ||
| 4.1 | Form of Warrant to Purchase Shares of Common Stock | S-1/A | 333-274610 | September 29, 2023 | 4.13 | ||
| 10.1 | Transition Agreement dated August 4, 2023 by and between Nuwellis, Inc. and Lynn Blake | 8-K | 001-35312 | August 8, 2023 | 10.1 | ||
| 10.2 | Consulting Agreement dated August 4, 2023 by and between Nuwellis, Inc. and Lynn Blake | 8-K | 001-35312 | August 8, 2023 | 10.2 | ||
| 10.3 | Offer Letter by and between Nuwellis, Inc. and Robert B. Scott, effective as of September 2, 2023 | 8-K | 001-35312 | August 18, 2023 | 10.1 | ||
| 10.4 | Form of Warrant Agency Agreement | S-1/A | 333-274610 | September 29, 2023 | 10.68 | ||
| 10.5 | Form of Securities Purchase Agreement | S-1/A | 333-274610 | September 29, 2023 | 10.69 | ||
| 10.6 | Placement Agency Agreement dated as of October 12, 2023, by and between Nuwellis, Inc., Lake Street Capital Markets, LLC and Maxim Group LLC | 8-K | 001-35312 | October 17, 2023 | 1.1 | ||
| 31.1 | Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | X | |||||
| 31.2 | Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | X | |||||
| 32.1 | Certification of Chief Executive Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | X | |||||
| 32.2 | Certification of Chief Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | X | |||||
| 101.INS | Inline XBRL Instance Document | X | |||||
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document | X | |||||
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document | X | |||||
| Incorporated By Reference | |||||||
| Exhibit Number | Exhibit Description | Form | File Number | Date of First Filing | Exhibit Number | Filed Herewith | Furnished Herewith |
|---|---|---|---|---|---|---|---|
| 101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase Document | X |
|---|---|---|
| 101.LAB | Inline XBRL Taxonomy Extension Label Linkbase Document | X |
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document | X |
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) | X |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
| Nuwellis, Inc. | ||
| Date: May 7, 2024 | By: | /s/ Nestor Jaramillo, Jr. |
|---|---|---|
| Nestor Jaramillo, Jr. | ||
| President and Chief Executive Officer | ||
| Date: May 7, 2024 | By: | /s/ Robert Scott |
|---|---|---|
| Robert Scott | ||
| Chief Financial Officer | ||
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.