Nuwellis, Inc.
For the period ended Jun 30, 2026. Filed Aug 13, 2026.
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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, 2026 · Filed Aug 13, 2026
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
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, 2026
| Incorporated By Reference | |||||
|---|---|---|---|---|---|
| ExhibitNumber · Exhibit Description · Form · FileNumber · Date of First Filing · ExhibitNumber · FiledHerewith · FurnishedHerewith | |||||
| 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 | Certificate of Amendment to Fourth Amended and Restated Certificate of Incorporation, as amended, of Nuwellis, Inc. | 8-K | 001-35312 | June 24, 2026 | 3.1 |
| 3.12 | Third Amended and Restated Bylaws | 10-Q | 000-35312 | November 12, 2024 | 3.13 |
| 3.13 | Amendment to Third Amended and Restated Bylaws | 10-Q | 001-35312 | November 12, 2024 | 3.14 |
| Incorporated By Reference | |||||||
|---|---|---|---|---|---|---|---|
| ExhibitNumber | Exhibit Description | Form | FileNumber | Date of First Filing | ExhibitNumber | FiledHerewith | FurnishedHerewith |
| 3.14 | 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 | ||
| 3.15 | Certificate of Designation of Preferences, Rights and Limitations of Series I Convertible Preferred Stock | 8-K | 001-35312 | October 18, 2022 | 3.1 | ||
| 3.16 | Certificate of Designations of Preferences, Rights and Limitations of Series F-1 Convertible Preferred Stock | 8-K | 001-35312 | June 9, 2025 | 3.1 | ||
| 4.1 | Form of Series C Common Warrant to Purchase Shares of Common Stock | S-1/A | 333-296198 | June 4, 2026 | 4.4 | ||
| 4.2 | Form of Series D Common Warrant to Purchase Shares of Common Stock | S-1/A | 333-296198 | June 4, 2026 | 4.5 | ||
| 4.3 | Form of Placement Agent Warrant to Purchase Shares of Common Stock | S-1/A | 333-296198 | June 4, 2026 | 4.6 | ||
| 10.1 | Form of Securities Purchase Agreement | S-1/A | 333-296198 | June 4, 2026 | 10.66 | ||
| 10.2 | Form of Placement Agency Agreement | S-1/A | 333-296198 | June 4, 2026 | 1.1 | ||
| 10.3 | Employment Agreement, by and between Nuwellis, Inc. and Michael McCormick, dated June 30, 2026 | X | |||||
| 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 | |||||||
| ExhibitNumber | Exhibit Description | Form | FileNumber | Date of First Filing | ExhibitNumber | FiledHerewith | FurnishedHerewith |
| 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, 2026 | By: | /s/ Mike McCormick |
|---|---|---|
| Mike McCormick | ||
| Chief Executive Officer | ||
| /s/ Carisa Schultz | ||
| Carisa Schultz | ||
| 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.