Form D · Other Health Care
Nuwellis, Inc.
Eden Prairie, MN · CIK 0001506492
Offering snapshot reported Nov 20, 2024 · SEC filing
- Reported sold
- $3.85M Offering amount: $3.85M
- Investors reported
- 9 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Nov 6, 2024 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Nov 20, 2024 | Initial | $3,848,286 | No comparison | 9 | SEC filing |
| Sep 4, 2024 | Initial | $0 | No comparison | 6 | SEC filing |
| Aug 2, 2024 | Initial | $0 | No comparison | 7 | SEC filing |
| Jun 26, 2023 | Initial | $0 | No comparison | 1 | SEC filing |
| May 7, 2020 | Initial | $1,699,998 | No comparison | 4 | SEC filing |
| Apr 8, 2020 | Initial | $2,226,519 | No comparison | 4 | SEC filing |
| Mar 30, 2020 | Initial | $1,248,418 | No comparison | 4 | SEC filing |
| Nov 21, 2019 | Initial | $1,365,300 | No comparison | 3 | SEC filing |
| Nov 1, 2019 | Initial | $663,000 | No comparison | 2 | SEC filing |
| Feb 27, 2017 | Initial | $563,863 | No comparison | 2 | SEC filing |
| Jan 25, 2017 | Initial | $200,000 | No comparison | 2 | SEC filing |
| Nov 9, 2016 | Initial | $3,600,000 | No comparison | 2 | SEC filing |
| Aug 18, 2016 | Initial | $950,000 | No comparison | 1 | SEC filing |
| Aug 2, 2016 | Initial | $3,468,000 | No comparison | 2 | SEC filing |
| Mar 2, 2015 | Initial | $360,000 | No comparison | 2 | SEC filing |
| May 20, 2013 | Initial | $1,500,000 | No comparison | 1 | SEC filing |
| Sep 19, 2012 | Initial | $700,000 | No comparison | 2 | SEC filing |
| Feb 22, 2012 | Initial | $2,112,769 | No comparison | 4 | SEC filing |
| Aug 10, 2011 | Initial | $4,969,631 | No comparison | 9 | SEC filing |
| Nov 24, 2010 | Initial | $3,500,000 | No comparison | 7 | SEC filing |
Offering details
- Securities
- Option to acquire, Security to be acquired
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $383K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-529957
In connection with a warrant inducement offering, warrants to purchase up to 3,720,010 shares of common stock were issued in a private placement. The offering amount excludes proceeds of up to $7,300,658 from the exercise of the warrants.
A fee equal to 8% of the gross proceeds received from the Inducement Offer will be paid to the placement agent, along with legal fees and expenses, and warrants to purchase up to 54,976 shares of common stock at an exercise price of $3.465.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Ladenburg Thalmann & Co. Inc. | 505 |
Source: Form D, filed Nov 20, 2024. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Neil P. Ayotte | Executive |
| Kevin P. Bassett | Executive |
| Lynn Larson Blake | Executive |
| Steven Brandt | Director |
| Steve Brandt | Director |
| John Brennan | Director |
| Geoffrey E. Brooke | Director |
| Brian Brown | Executive |
| Paul Buckman | Director |
| Nicholas Callinan | Director |
| Maria Rosa Costanzo | Director |
| Maria Rosa Costanzo, M.D. | Director |
| Claudia Drayton | Executive |
| John L. Erb | Director |
| Archelle Georgiou, M.D. | Director |
| Mark Harvey | Director |
| Rowena Hubble | Executive |
| Nestor Jaramillo | Director, Executive |
| Nestor Jaramillo, Jr. | Director, Executive |
| Debra J. Kridner | Executive |
| Matthew Likens | Director |
| Eric Lovett | Executive |
| Crispin Marsh | Director |
| Jeffrey S. Mathiesen | Executive |
| Mike Mc Cormick | Director |
| Michael Kendrick Mc Cormick | Director |
| Dave Kendrick Mc Donald | Director |
| Donal O'dwyer | Director |
| Kimberly Oleson | Executive |
| William S. Peters | Executive |
| David A. Rosa | Director, Executive |
| John W. Salveson | Director |
| Jon Salveson | Director |
| Rob Scott | Executive |
| Molly Wade | Executive |
| Gregory Waller | Director |
| Warren S. Watson | Director |
| Jim Yearick | Executive |
Issuer details
Industry: Other Health Care (See others in industry)
Address:
12988 Valley View Road
Eden Prairie, MN, 55344
Eden Prairie, MN, 55344