Neil P. Ayotte - Jun 22, 2021 Form 4/A - Amendment Insider Report for Nuwellis, Inc. (NUWE)

Role
SVP, Secretary, GC & CCO
Signature
/s/ Neil P. Ayotte
Stock symbol
NUWE
Transactions as of
Jun 22, 2021
Transactions value $
$0
Form type
4/A - Amendment
Date filed
6/24/2021, 04:08 PM
Date Of Original Report
Jun 23, 2021
Previous filing
Jun 16, 2021
Next filing
Mar 4, 2022

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction NUWE Non-Qualified Stock Option (right to buy) Award $0 +41.7K $0.00 41.7K Jun 22, 2021 Common Stock 41.7K $3.98 Direct F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 This amendment is being filed to correct the title of the option, which is a non-qualified stock option rather than an incentive stock option as originally reported.
F2 The options will vest as follows: 25% of the options will vest on the one-year anniversary of the date of grant; the remaining options will vest in 36 equal consecutive monthly increments thereafter, so all will be vested on the four-year anniversary of the date of grant.