Nuwellis Inc
For the period ended Jun 30, 2024. Filed Aug 13, 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.
Jun 30, 2024 · Filed Aug 13, 2024
NUWE$4.94+7.9%Stored close · as of Nov 9, 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 June 30, 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 | Certificate of Amendment to Fourth Amended and Restated Certificate of Incorporation | 8-K | 001-35312 | June 26, 2024 | 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 | Certificate of Designation of Preferences, Rights and Limitations of Series J Convertible Preferred Stock | 8-K | 001-35312 | October 17, 2023 | 3.1 |
| 3.12 | Second Amended and Restated Bylaws | 8-K | 001-35312 | April 27, 2021 | 3.2 |
| Incorporated By Reference | |||||||
| Exhibit Number | Exhibit Description | Form | File Number | Date of First Filing | Exhibit Number | Filed Herewith | Furnished Herewith |
|---|---|---|---|---|---|---|---|
| 3.13 | Amendment to Second Amended and Restated Bylaws | 8-K | 001-35312 | October 5, 2022 | 3.1 | ||
| 4.1 | Form of Warrant to Purchase Shares of Common Stock | 8-K | 001-35312 | May 1, 2024 | 4.1 | ||
| 4.2 | Form of Pre-Funded Warrant to Purchase Shares of Common Stock | 8-K | 001-35312 | May 1, 2024 | 4.2 | ||
| 4.3 | Form of Common Warrant | 8-K | 001-35312 | July 25, 2024 | 4.1 | ||
| 10.1 | Form of Warrant Agency Agreement | 8-K | 001-35312 | May 1, 2024 | 4.3 | ||
| 10.2 | Form of Securities Purchase Agreement, dated as of April 26, 2024, by and among Nuwellis, Inc. and the purchasers identified on the signature pages thereto | 8-K | 001-35312 | May 1, 2024 | 10.1 | ||
| 10.3 | Placement Agency Agreement dated as of April 26, 2024, by and between Nuwellis, Inc. and Roth Capital Partners, LLC | 8-K | 001-35312 | May 1, 2024 | 1.1 | ||
| 10.4 | First Amendment to Supply and Collaboration Agreement dated as of May 31, 2024 by and between the Company and DaVita Inc. | 8-K | 001-35312 | June 6, 2024 | 10.1 | ||
| 10.5 | Form of Securities Purchase Agreement | 8-K | 001-35312 | July 25, 2024 | 10.2 | ||
| 10.6 | Placement Agency Agreement dated July 24, 2024 between Nuwellis, Inc. and Roth Capital Partners LLC | 8-K | 001-35312 | July 25,2024 | 10.1 | ||
| 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 | |||||
| Incorporated By Reference | |||||||
| Exhibit Number | Exhibit Description | Form | File Number | Date of First Filing | Exhibit Number | Filed Herewith | Furnished Herewith |
|---|---|---|---|---|---|---|---|
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document | X | |||||
| 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: August 13, 2024 | By: | /s/ Nestor Jaramillo, Jr. |
|---|---|---|
| Nestor Jaramillo, Jr. | ||
| President and Chief Executive Officer | ||
| Date: August 13, 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.