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Nuwellis Inc

For the period ended Sep 30, 2024. Filed Nov 12, 2024.

View on SEC.gov

About this filing

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.

Sep 30, 2024 · Filed Nov 12, 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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Contents

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 September 30, 2024

Incorporated By Reference
Exhibit Number · Exhibit Description · Form · File Number · Date of First Filing · Exhibit Number · Filed Herewith · Furnished Herewith
3.1Fourth Amended and Restated Certificate of Incorporation10001-35312February 1, 20123.1
3.2Certificate of Amendment to the Fourth Amended and Restated Certificate of Incorporation8-K001-35312January 13, 20173.1
3.3Certificate of Amendment to the Fourth Amended and Restated Certificate of Incorporation8-K001-35312May 23, 20173.1
3.4Certificate of Amendment to the Fourth Amended and Restated Certificate of Incorporation8-K001-35312October 12, 20173.1
3.5Certificate of Amendment to the Fourth Amended and Restated Certificate of Incorporation8-K/A001-35312October 16, 20203.1
3.6Certificate of Amendment to the Fourth Amended and Restated Certificate of Incorporation8-K001-35312January 2, 20193.1
3.7Certificate of Amendment to the Fourth Amended and Restated Certificate of Incorporation8-K001-35312April 27, 20213.1
3.8Certificate of Amendment to the Fourth Amended and Restated Certificate of Incorporation8-K001-35312December 9, 20223.1
3.9Certificate of Amendment to Fourth Amended and Restated Certificate of Incorporation8-K001-35312June 26, 20243.1
3.10Form of Certificate of Designation of Preferences, Rights and Limitations of Series F Convertible Preferred StockS-1/A333-221010November 17, 20173.7
3.11Certificate of Designation of Preferences, Rights and Limitations of Series J Convertible Preferred Stock8-K001-35312October 17, 20233.1
3.12Second Amended and Restated Bylaws8-K001-35312April 27, 20213.2
Incorporated By Reference
Exhibit NumberExhibit DescriptionFormFile NumberDate of First FilingExhibit NumberFiled HerewithFurnished Herewith
3.13 · Third Amended and Restated Bylaws · X
3.14 · Amendment to Third Amended and Restated Bylaws · X
4.1Form of Common Warrant8-K001-35312July 25, 20244.1
4.2Form of Common Warrant​8-K​001-35312August 26, 20244.1
4.3Form of Placement Agent Warrant8-K001-35312August 26, 20244.2
10.1Form of Securities Purchase Agreement8-K001-35312July 25, 202410.2
10.2Placement Agency Agreement dated July 24, 2024 between Nuwellis, Inc. and Roth Capital Partners LLC8-K001-35312July 25,202410.1
10.3Termination Agreement to the Supply and Collaboration Agreement, dated August 21, 20248-K001-35312August 22, 202410.1
10.4Placement Agency Agreement dated as of August 23, 2024, by and between Nuwellis, Inc., and Ladenburg Thalmann & Co. Inc.8-K001-35312August 26, 202410.1
10.5Form of Securities Purchase Agreement8-K001-35312July 25, 202410.69
31.1Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002X
31.2Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002X
32.1Certification of Chief Executive Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002X
32.2Certification of Chief Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002X
101.INSInline XBRL Instance DocumentX
101.SCHInline XBRL Taxonomy Extension Schema DocumentX
101.CALInline XBRL Taxonomy Extension Calculation Linkbase DocumentX
Incorporated By Reference
Exhibit NumberExhibit DescriptionFormFile NumberDate of First FilingExhibit NumberFiled HerewithFurnished Herewith
101.DEFInline XBRL Taxonomy Extension Definition Linkbase DocumentX
101.LABInline XBRL Taxonomy Extension Label Linkbase DocumentX
101.PREInline XBRL Taxonomy Extension Presentation Linkbase DocumentX
104Cover 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: November 12, 2024By:/s/ Nestor Jaramillo, Jr.
Nestor Jaramillo, Jr.
President and Chief Executive Officer
Date: November 12, 2024By:/s/ Robert Scott
Robert Scott
Chief Financial Officer
ContentsView on SEC.gov

The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.