Extracted from this filing and checked against the source text.
Material Agreements
SEC 8-K Item 1.01/1.02
confidence 0.9
Nuwellis, Inc. entered into Securities Purchase Agreement with certain of the purchasers in the Offering (effective 2024-04-26).
- Action
- entry
- Agreement
- equity purchase
- Counterparty
- certain of the purchasers in the Offering
- Effective
- 2024-04-26
Exact text from the filing
On April 26, 2024, the Company entered into a Securities Purchase Agreement (the “ Purchase Agreement ”) with certain of the purchasers in the Offering.
View on SEC.gov
Material Agreements
SEC 8-K Item 1.01/1.02
confidence 0.9
Nuwellis, Inc. entered into Warrant Agency Agreement with Equiniti Trust Company, LLC (effective 2024-04-30).
- Action
- entry
- Counterparty
- Equiniti Trust Company, LLC
- Effective
- 2024-04-30
Exact text from the filing
On April 30, 2024, the Company also entered into a Warrant Agency Agreement with the Company’s transfer agent, Equiniti Trust Company, LLC, who will act as warrant agent for the Company, setting forth the terms and conditions of the Common Warrants sold in this Offering (the “ Warrant Agency Agreement ”).
View on SEC.gov
Material Agreements
SEC 8-K Item 1.01/1.02
confidence 0.9
Nuwellis, Inc. entered into Placement Agency Agreement with Roth Capital Partners, LLC (effective 2024-04-26).
- Action
- entry
- Agreement
- underwriting
- Counterparty
- Roth Capital Partners, LLC
- Effective
- 2024-04-26
Exact text from the filing
On April 26, 2024, Nuwellis, Inc. (the “ Company ”) entered into a Placement Agency Agreement (the “ Placement Agency Agreement ”) with Roth Capital Partners, LLC (the “ Placement Agent ”), pursuant to which the Company issued and sold, in a best efforts registered public offering by the Company (the “ Offering ”), 8,419,996 shares (the “ Shares ”) of the Company’s common stock, par value $0.0001 per share (the “ Common Stock ”) , pre-funded warrants (the “ Pre-Funded Warrants ”) to purchase up to an aggregate of 2,830,004 shares of common stock and common warrants (the “ Common Warrants ) to purchase up to an aggregate of 16,875,000 shares of its common stock.
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