Nuwellis, Inc.
For the period ended Sep 30, 2025. Filed Nov 12, 2025.
View on SEC.govAbout 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, 2025 · Filed Nov 12, 2025
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
Item 6. Exhibits
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, 2025
| 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 | 001-35312 | January 2, 2019 | 3.1 |
| 3.6 | Certificate of Amendment to the Fourth Amended and Restated Certificate of Incorporation | 8-K/A | 001-35312 | October 16, 2020 | 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 the Fourth Amended and Restated Certificate of Incorporation | 8-K | 001-35312 | June 26, 2024 | 3.1 |
| 3.10 | Certificate of Amendment to Fourth Amended and Restated Certificate of Incorporation, as amended, of Nuwellis, Inc. | 8-K | 001-35312 | July 2, 2025 | 3.1 |
| 3.11 | Third Amended and Restated Bylaws | 10-Q | 000-35312 | November 12, 2024 | 3.13 |
| 3.12 | Amendment to Third Amended and Restated Bylaws | 10-Q | 001-35312 | November 12, 2024 | 3.14 |
| 3.13 | 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 |
| Incorporated By Reference | |||||||
|---|---|---|---|---|---|---|---|
| Exhibit Number | Exhibit Description | Form | File Number | Date of First Filing | Exhibit Number | Filed Herewith | Furnished Herewith |
| 3.14 | Certificate of Designation of Preferences, Rights and Limitations of Series I Convertible Preferred Stock | 8-K | 001-35312 | October 18, 2022 | 3.1 | ||
| 3.15 | Certificate of Designations of Preferences, Rights and Limitations of Series F-1 Convertible Preferred Stock | 8-K | 001-35312 | June 9, 2025 | 3.1 | ||
| 10.1 | At The Market Offering Agreement, dated as of September 3, 2025, by and between the Company and Ladenburg Thalmann & Co. Inc. | 8-K | 001-35312 | September 3, 2025 | 1.1 | ||
| 31.1 | Certification of Chief Executive Officer and Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | X | |||||
| 32.1 | Certification of Chief Executive Officer and 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 | |||||
| 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: November 12, 2025 | By: | /s/ John L. Erb |
|---|---|---|
| John L. Erb | ||
| President, Chief Executive Officer, | ||
| Interim Chief Financial Officer, | ||
| Principal Financial & Accounting Officer | ||
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.