Delaware | | | 3845 | | | 68-0533453 |
(State or Other Jurisdiction of | | | (Primary Standard Industrial Classification Code Number) | | | (I.R.S. Employer Identification Number) |
Phillip D. Torrence Honigman LLP 650 Trade Centre Way, Suite 200 Kalamazoo, MI 49002 Tel: (269) 337-7700 Fax: (269) 337-7703 | | | Senior Vice President, General Counsel, Secretary and Chief Nuwellis, Inc. 12988 Valley View Road Eden Prairie, Minnesota 55344 Tel: (952) 345-4200 | | | Michael F. Nertney Ellenoff Grossman & Schole LLP 1345 Avenue of the Americas New York, NY 10105-0302 Tel: (212) 370-1300 Fax: (212) 401-4741 |
Large accelerated filer ☐ | | | Accelerated filer ☐ | | | Non-accelerated filer ☒ | | | Smaller reporting company ☒ |
| | | | | | Emerging growth company ☐ |
Title of securities to be registered(1) | | | Proposed maximum aggregate offering price(1) | | | Amount of Registration Fee(2) |
Units consisting of: | | | $ | | | $ |
(i) Shares of common stock, par value $0.0001 per share | | | | | ||
(ii) Warrants to purchase common stock(3) | | | | | ||
Common Stock issuable on exercise of Warrants | | | $ | | | $ |
Total | | | $18,000,000 | | | $2,337 |
| | Per Class A Unit | | | Per Class B Unit(1) | | | Per Share | | | Total | |
Public offering price | | | | | | | | | ||||
Underwriting discounts(2) | | | | | | | | | ||||
Proceeds, before expenses, to | | | | | | | | |
(1) | The public offering price and underwriting discount corresponds to (x) in respect of the Class A Units |
(2) | We have agreed to pay certain expenses of the underwriters in this offering. We refer you to “Underwriting” on page |
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1 | https://my.clevelandclinic.org/health/diseases/22962-hypervolemia |
2 | Schwinger RHG. Cardiovasc Diagn Ther.2021;11(1); 263-76. |
3 | Hoorn EJ & Ellison DH. Am J Kidney Dis.2016; 69(1): 136-42. |
4 | Wise R et al. World J Surg.2017; 41: 1170-83. |
5 | Stein, A et. al. Critical Care, 2012; 16: R99; 1-9 |
6 | Iribarne A, et al. Ann Thorac Surg. 2014 Oct; 98(4): 1274-80 |
7 | Kazory A & Ross EA. Heart. 2009; 95: 1047-51. |
8 | Kazory A & Ross EA. Heart. 2009; 95: 1047-51. |
9 | Felker MG et al. J Am Coll Cardiol. 2012 Jun 12;59(24):2145-53. |
10 | Felker MG et al. J Am Coll Cardiol. 2012 Jun 12;59(24):2145-53. |
11 | Felker MG et al. J Am Coll Cardiol. 2012 Jun 12;59(24):2145-53. |
12 | Heidenreich P et al. ACC, AHA, HFSA 2022 Heart Failure guidelines. J Am Coll Cardiol. 2021. 1-159. |
13 | Felker MG et al. J Am Coll Cardiol. 2012 Jun 12;59(24):2145-53. |
14 | Felker MG et al. J Am Coll Cardiol. 2020; 75(10); 1179-97. |
15 | Kamath SA.. Int J of Nephrol. 2011. Article ID 190230; 1-6. |
16 | Costanzo MR, et al. J Am Coll Cardiol. 2017;69(19):2428-45. |
17 | Kamath SA.. Int J of Nephrol. 2011. Article ID 190230; 1-6. |
18 | Felker MG et al. J Am Coll Cardiol. 2012 Jun 12;59(24):2145-53. |
19 | Heidenreich P et al. ACC, AHA, HFSA 2022 Heart Failure guidelines. J Am Coll Cardiol. 2021. 1-159. |
20 | Wise R et al. World J Surg. 2017; 41: 1170-83. |
21 | Felker MG et al. J Am Coll Cardiol. 2020; 75(10); 1179-97. |
22 | Felker GM et al. New Engl J Med. 2011; 364(9): 797-805. |
23 | Gheorghiade M, Filippatos G. Eur Heart J Suppl. 2005; 7: B13–19. |
24 | Costanzo MR, et al. J Am Coll Cardiol. 2017;69(19):2428-45. |
25 | Gheorghiade M, Filippatos G. Eur Heart J Suppl. 2005; 7: B13–19. |
26 | Felker GM et al. New Engl J Med. 2011; 364(9): 797-805. |
27 | Costanzo MR, et al. J Am Coll Cardiol. 2007; 49(6): 675-83. |
28 | Peterangelo M. Prog Cardiol Nurs. 2008; 23: 168-72. |
29 | Costanzo MR, et al. J Am Coll Cardiol. 2017; 69(19): 2428-45. |
30 | Jaski BA et al. J Card Fail. 2003; 9(3): 227-31. |
31 | Costanzo MR, et al. J Am Coll Cardiol. 2017; 69(19): 2428-45. |
• | Provides control over rate and total volume of fluid removed by allowing a medical practitioner to specify the amount of fluid to be removed from each individual patient;42 |
• | Can be performed via peripheral or central venous access43; |
• | Removes isotonic fluid (extracts sodium while sparing potassium and magnesium); |
• | Following ultrafiltration, neurohormonal activation is reset toward a more physiological condition and diuretic efficacy is restored |
• | Provides highly automated operation with only one setting required to begin therapy48; |
• | Uses a single-use, disposable auto-loading blood filter circuit that facilitates easy set-up49; |
• |
Costanzo MR, et al. |
33 | Kazory A. Clin J Am Soc Nephro. 2013; 8; 1816-28. |
34 | Luciani GB, et al. Circ. 2001 Sep 18; 104(12 Suppl 1): I253-I259. |
35 | Kiziltepe, U, et al. Ann Thorac Surg. 2001 Feb;71(2): 684-93. |
36 | Sahoo, TK, et al. Indian J Thorac Cardiovas Surg. 2007 Jun;23(2): 116-124. |
37 | Costanzo MR, et. al. Value Health. 2018; 21 (Suppl 1): S167. |
38 | Felker GM et al. New Engl J Med. 2011; 364(9): 797-805. |
39 | Costanzo MR, et al. J Am Coll Cardiol. 2017; 69(19): 2428-45. |
40 | Bart BE at al. J Am Coll Cardiol. 2005 Dec 6; 46(11): |
Costanzo MR et al. J Am Coll |
Peterangelo M. Prog Cardiol Nurs. 2008; 23:168-72. |
43 | Peterangelo M. Prog Cardiol Nurs. 2008; 23:168-72. |
44 | Felker GM et al. New Engl J Med. 2011; 364(9): 797-805. |
45 | Kazory A. Clin J Am Soc Nephro. 2013; 8; 1816-28. |
46 | Costanzo MR, et al. |
47 | Kazory A. Clin J Am Soc Nephro. 2013; 8; 1816-28. |
48 | Costanzo MR, et al. J Am Coll Cardiol. 2007; 49(6): 675-83. |
49 | Felker GM et al. New Engl J Med. 2011; 364(9): 797-805. |
50 | Costanzo MR, et al. J Am Coll Cardiol. 2017; 69(19): 2428-45. |
51 | Kazory A. Clin J Am Soc Nephro. 2013; 8; 1816-28. |
52 | Costanzo MR, et. al. Value Health. 2018; 21 (Suppl 1): S167. |
53 | Costanzo MR et al. J Am Coll Cardiol. 2005; 46(11): 2047-51. |
| | As of June 30, 2022 (in thousands, except share and per share data) | ||||
| | Actual | | | As Adjusted | |
Cash and cash equivalents | | | $15,345 | | | 24,598 |
Stockholders’ equity: | | | | | ||
Series A junior participating preferred stock, par value $0.0001 per share; authorized 30,000 shares, none outstanding | | | — | | | |
Series F convertible preferred stock, par value $0.0001 per share; authorized 127 shares, issued and outstanding 127 shares | | | — | | | |
Series I convertible preferred stock, par value $0.0001 per share; authorized none and 7,196,401 shares, respectively, issued and outstanding none and 7,196,401 shares, respectively | | | | | ||
Preferred stock, par value $0.0001 per share; authorized 39,969,873 shares, respectively, none outstanding | | | | | ||
Common stock, par value $0.0001 per share; authorized 100,000,000 shares, issued and outstanding 10,537,606 shares | | | 1 | | | 3 |
Additional paid-in capital | | | 279,350 | | | 288,602 |
Accumulated other comprehensive income: | | | | | ||
Foreign currency translation adjustment | | | (12) | | | (12) |
Accumulated deficit | | | (261,675) | | | (261,675) |
Total stockholders’ equity | | | 17,664 | | | 26,917 |
Name of Beneficial Owner | | Number of Shares | | Right to Acquire(1) | | Total | | Aggregate Percent of Class(2) | | Number of Shares | | Right to Acquire(1) | | Total | | Aggregate Percent of Class(2) | ||||||||
John L. Erb | | 11,617 | | 385,855(3) | | 397,472 | | *% | | 385 | | 56,038(3) | | 56,423 | | *% | ||||||||
Steve Brandt | | 5 | | 11,293 | | 11,298 | | * | | — | | 17,176 | | 17,176 | | * | ||||||||
Maria Rosa Costanzo, M.D. | | — | | — | | — | | — | | — | | — | | — | | — | ||||||||
Jon W. Salveson | | 3 | | 12,238 | | 12,241 | | * | | — | | 17,208 | | 17,208 | | * | ||||||||
Gregory D. Waller | | 2 | | 12,707 | | 12,709 | | * | | — | | 17,223 | | 17,223 | | * | ||||||||
Warren S. Watson | | 3 | | 12,238 | | 12,241 | | * | | — | | 17,208 | | 17,208 | | * | ||||||||
Claudia Drayton | | 2 | | 9,436 | | 9,438 | | * | ||||||||||||||||
Nestor Jaramillo, Jr. | | — | | 28,163 | | 28,163 | | * | | — | | 63,911 | | 63,911 | | * | ||||||||
All directors and executive officers as a group (8 persons) | | 11,637 | | 471,930 | | 483,567 | | 1.1% | ||||||||||||||||
Bigger Capital Fund, L.P.(4) 175 W. Carver Street Huntington, New York 11743 | | 167,661 | | 1,130,774 | | 1,198,435 | | 9.99% | ||||||||||||||||
Hudson Bay Capital Management LP(5) 777 Third Avenue, 30th Floor New York, NY 10017 | | — | | 518,763 | | 518,763 | | 9.99% | ||||||||||||||||
Empery Asset Master, Ltd.(6) 551 Fifth Avenue, Floor 19 New York, NY 10176 | | 842,000 | | 5,568,023 | | 6,410,023 | | 9.99% | ||||||||||||||||
George Montague | | — | | 20,845 | | 20,845 | | * | ||||||||||||||||
Neil P. Ayotte | | — | | 13,896 | | 13,896 | | * | ||||||||||||||||
All current directors and executive officers as a group (9 persons) | | 385 | | 223,505 | | 223,890 | | 2.1% |
* | Less than one percent. |
(1) | Except as otherwise described below, amounts reflect the number of shares that such holder could acquire through (i) the exercise of outstanding stock options, (ii) the vesting/settlement of outstanding RSUs, (iii) the exercise of outstanding warrants to purchase common stock, and (iv) the conversion of outstanding Series F Preferred Stock, in each case within 60 days after |
(2) | Based on |
(3) | Consists of (i) |
Underwriters | | | Class A Units | | | Class B Units |
Ladenburg Thalmann & Co. Inc. | | | [ ] | |||
| | [ ] | ||||
Total | | | [ ] | | | [ ] |
| | Per Class A Unit(1) | | | Per Class B Unit(1) | | | Total without Exercise of Overallotment | | | Total with Full Exercise of Overallotment | |
Public offering price | | | | | | | | | ||||
Underwriting discount to be paid to the underwriters by us (8.0%)(2)(3) | | | | | | | | | ||||
Proceeds to us (before expenses) | ��� | | | | | | | |
(1) | The public offering price and underwriting discount corresponds to (x) in respect of the Class A Units (i) a public offering price per share of common stock of $[ ] |
(2) | We have also agreed to reimburse the accountable expenses of the representative, including legal fees, in this offering, up to a maximum of $85,000. |
(3) | We have granted a 45 day option to the representative to purchase up to [ ] additional shares of common stock (up to 15% of the shares of common |
• | our Annual Report on Form 10-K for the fiscal year ended December 31, 2021, filed with the SEC on March 3, 2022; |
• | our Quarterly Reports on Form 10-Q for the quarter ended March 31, 2022, filed with the SEC on May 12, 2022 and for the quarter ended June 30, 2022, filed with the SEC on August 11, 2022; |
• | our Current Reports on Form 8-K filed with the SEC on April 21, 2022, May 18, 2022, May 26, 2022, June 3, 2022, and September 23, 2022; |
• | the information specifically incorporated by reference into our Annual Report on Form 10-K for the year ended December 31, 2021 from our definitive proxy statement for the annual meeting of stockholders held on May 17, 2022, filed with the SEC on April 11, 2022, and supplemented on May 18, 2022 and by Form 8-K on May 26, 2022 for the adjournment of the annual meeting of stockholders held on May 25, 2022; |
• | our definitive proxy statement for the annual meeting of stockholders held on May 17, 2022, filed with the SEC on April 11, 2022, and supplemented on May 18, 2022 and by form 8-K on May 26, 2022 for the adjournment of the annual meeting of stockholders held on May 25, 2022; |
• | the description of our common stock in our registration statement on Form 10 filed with the SEC on September 30, 2011, including any amendment or report filed for the purpose of updating such description; and |
• | the description of our Series A Junior Participating Preferred Stock, par value $0.0001 per share, in our registration statement on Form 8-A filed with the SEC on June 14, 2013. |
Item 13. | Other Expenses of Issuance and Distribution. |
| | Amount to be Paid | |
SEC registration fee | | | $ |
FINRA filing fee | | | |
Legal fees and expenses | | | |
Printing expenses | | | |
Accountant’s fees and expenses | | | |
Transfer agent and registrar fees | | | |
Miscellaneous expenses | | | |
Total | | | $ |
Item 14. | Indemnification of Directors and Officers. |
Item 15. | Recent Sales of Unregistered Securities. |
Item 16. | Exhibits and Financial Statement Schedules. |
| | | | Incorporated By Reference | | | | | ||||||||||
Exhibit Number | | | Exhibit Description | | | Form | | | File Number | | | Date of First Filing | | | Exhibit Number | | | Filed Herewith |
| | Form of Underwriting Agreement | | | | | | | | | | | X | |||||
| | | | | | | | | | | | |||||||
| | Asset Purchase Agreement between Sunshine Heart, Inc. and Gambro UF Solutions, Inc. dated August 5, 2016 | | | 8-K | | | 001-35312 | | | August 8, 2016 | | | 2.1 | | | ||
| | | | | | | | | | | | |||||||
| | Fourth Amended and Restated Certificate of Incorporation | | | 10 | | | 001-35312 | | | February 1, 2012 | | | 3.1 | | | ||
| | | | | | | | | | | | |||||||
| | Certificate of Amendment to the Fourth Amended and Restated Certificate of Incorporation | | | 8-K | | | 001-35312 | | | January 13, 2017 | | | 3.1 | | | ||
| | | | | | | | | | | | |||||||
| | Certificate of Amendment to the Fourth Amended and Restated Certificate of Incorporation | | | 8-K | | | 001-35312 | | | May 23, 2017 | | | 3.1 | | | ||
| | | | | | | | | | | | |||||||
| | Certificate of Amendment to the Fourth Amended and Restated Certificate of Incorporation | | | 8-K | | | 001-35312 | | | October 12, 2017 | | | 3.1 | | | ||
| | | | | | | | | | | |
| | | | Incorporated By Reference | | | | | ||||||||||
Exhibit Number | | | Exhibit Description | | | Form | | | File Number | | | Date of First Filing | | | Exhibit Number | | | Filed Herewith |
1.1* | | | Form of Underwriting Agreement | | | | | | | | | | | |||||
| | | | | | | | | | | | |||||||
2.1 | | | | | 8-K | | | 001-35312 | | | August 8, 2016 | | | 2.1 | | | ||
| | | | | | | | | | | | |||||||
3.1 | | | | | 10 | | | 001-35312 | | | February 1, 2012 | | | 3.1 | | | ||
| | | | | | | | | | | | |||||||
3.2 | | | | | 8-K | | | 001-35312 | | | January 13, 2017 | | | 3.1 | | | ||
| | | | | | | | | | | | |||||||
3.3 | | | | | 8-K | | | 001-35312 | | | May 23, 2017 | | | 3.1 | | | ||
| | | | | | | | | | | | |||||||
3.4 | | | | | 8-K | | | 001-35312 | | | October 12, 2017 | | | 3.1 | | | ||
| | | | | | | | | | | | |||||||
3.5 | | | | | 8-K | | | 001-35312 | | | January 2, 2019 | | | 3.1 | | | ||
| | | | | | | | | | | | |||||||
3.6 | | | | | 8-K | | | 001-35312 | | | May 23, 2017 | | | 3.2 | | | ||
| | | | | | | | | | | | |||||||
3.7 | | | | | 8-K | | | 001-35312 | | | June 14, 2013 | | | 3.1 | | | ||
| | | | | | | | | | | | |||||||
3.8 | | | | | S-1/A | | | 333-221010 | | | November 17, 2017 | | | 3.7 | | | ||
| | | | | | | | | | | | |||||||
3.9 | | | | | 8-K | | | 001-35312 | | | March 13, 2019 | | | 3.1 | | | ||
| | | | | | | | | | | | |||||||
3.10 | | | | | 8-K | | | 001-35312 | | | January 29, 2020 | | | 3.1 | | | ||
| | | | | | | | | | | |
| | | | Incorporated By Reference | | | | | ||||||||||
Exhibit Number | | | Exhibit Description | | | Form | | | File Number | | | Date of First Filing | | | Exhibit Number | | | Filed Herewith |
| | Certificate of Amendment to the Fourth Amended and Restated Certificate of Incorporation | | | 8-K | | | 001-35312 | | | January 2, 2019 | | | 3.1 | | | ||
| | | | | | | | | | | | |||||||
| | Certificate of Amendment to the Fourth Amended and Restated Certificate of Incorporation | | | 8-K/A | | | 001-35312 | | | October 16, 2020 | | | 3.1 | | | ||
| | | | | | | | | | | | |||||||
| | Certificate of Amendment to the Fourth Amended and Restated Certificate of Incorporation | | | 8-K | | | 001-35312 | | | April 27, 2021 | | | 3.1 | | | ||
| | | | | | | | | | | | |||||||
| | Second Amended and Restated Bylaws | | | 8-K | | | 001-35312 | | | April 27, 2021 | | | 3.2 | | | ||
| | | | | | | | | | | | |||||||
| | Form of Certificate of Designation of Series A Junior Participating Preferred Stock | | | 8-K | | | 001-35312 | | | June 14, 2013 | | | 3.1 | | | ||
| | | | | | | | | | | | |||||||
| | 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 | | | ||
| | | | | | | | | | | | |||||||
| | Form of Certificate of Designation of Preferences, Rights and Limitations of Series I Convertible Preferred Stock | | | | | | | | | | | X | |||||
| | | | | | | | | | | | |||||||
| | Warrant to Purchase Stock, dated February 18, 2015, issued to Silicon Valley Bank | | | 8-K | | | 001-35312 | | | February 19, 2015 | | | 4.1 | | | ||
| | | | | | | | | | | | |||||||
| | Warrant to Purchase Stock, dated February 18, 2015, issued to Life Science Loans, LLC | | | 8-K | | | 001-35312 | | | February 19, 2015 | | | 4.2 | | | ||
| | | | | | | | | | | | |||||||
| | Form of Common Stock Purchase Warrant issued pursuant to the Securities Purchase Agreement, dated July 20, 2016, among the Company and the purchasers signatory thereto | | | 8-K | | | 001-35312 | | | July 22, 2016 | | | 4.2 | | | ||
| | | | | | | | | | | | |||||||
| | Form of Common Stock Purchase Warrant issued to Northland Securities, Inc. | | | 8-K | | | 001-35312 | | | July 22, 2016 | | | 4.3 | | | ||
| | | | | | | | | | | | |||||||
| | Registration Rights Agreement between Sunshine Heart, Inc. and Gambro UF Solutions, Inc. dated August 5, 2016 | | | 8-K | | | 001-35312 | | | August 8, 2016 | | | 4.1 | | | ||
| | | | | | | | | | | |
| | | Incorporated By Reference | | | | | | | Incorporated By Reference | | | | |||||||||||||||||||||||
Exhibit Number | | Exhibit Description | | Form | | File Number | | Date of First Filing | | Exhibit Number | | Filed Herewith | | Exhibit Description | | Form | | File Number | | Date of First Filing | | Exhibit Number | | Filed Herewith | ||||||||||||
4.1 | | | 8-K | | 001-35312 | | February 19, 2015 | | 4.1 | | ||||||||||||||||||||||||||
| | | | | | |||||||||||||||||||||||||||||||
4.2 | | | 8-K | | 001-35312 | | February 19, 2015 | | 4.2 | | ||||||||||||||||||||||||||
| | | | | | |||||||||||||||||||||||||||||||
4.3 | | | 8-K | | 001-35312 | | July 22, 2016 | | 4.2 | | ||||||||||||||||||||||||||
| | | | | | |||||||||||||||||||||||||||||||
4.4 | | | 8-K | | 001-35312 | | July 22, 2016 | | 4.3 | | ||||||||||||||||||||||||||
| | | | | | |||||||||||||||||||||||||||||||
4.5 | | | 8-K | | 001-35312 | | August 8, 2016 | | 4.1 | | ||||||||||||||||||||||||||
| | | | | | |||||||||||||||||||||||||||||||
4.6 | | | 8-K | | 001-35312 | | October 31, 2016 | | 4.1 | | | Form of Common Stock Purchase Warrant issued pursuant to the Securities Purchase Agreement, dated October 30, 2016, among the Company and the purchasers signatory thereto | | 8-K | | 001-35312 | | October 31, 2016 | | 4.1 | | |||||||||||||||
| | | | | | | | | | | | |||||||||||||||||||||||||
4.7 | | | 8-K | | 001-35312 | | February 16, 2017 | | 4.1 | | | Form of Common Stock Purchase Warrant issued pursuant to the Letter Agreement between the Company and the purchasers signatory thereto, dated February 15, 2017 | | 8-K | | 001-35312 | | February 16, 2017 | | 4.1 | | |||||||||||||||
| | | | | | | | | | | | |||||||||||||||||||||||||
4.8 | | | S-1/A | | 333-216841 | | April 4, 2017 | | 4.8 | | | Form of Common Stock Purchase Warrant issued pursuant to the Underwriting Agreement between the Company and Ladenburg Thalmann & Co. Inc., dated April 19, 2017 | | S-1/A | | 333-216841 | | April 5, 2017 | | 4.8 | | |||||||||||||||
| | | | | | | | | | | | |||||||||||||||||||||||||
4.9 | | | S-1/A | | 333-221010 | | November 17, 2017 | | 4.9 | | | Form of Warrant to Purchase Shares of Common Stock | | S-1/A | | 333-221010 | | November 17, 2017 | | 4.9 | | |||||||||||||||
| | | | | | | | | | | | |||||||||||||||||||||||||
4.10 | | | S-1/A | | 333-209102 | | February 25, 2019 | | 4.10 | | | Form of Series 1 and Series 2 Warrant to Purchase Shares of Common Stock | | S-1/A | | 333-209102 | | February 25, 2019 | | 4.10 | | |||||||||||||||
| | | | | | | | | | | | |||||||||||||||||||||||||
4.11 | | | 10-Q | | 001-35312 | | August 8, 2019 | | 4.1 | | | Common Stock Purchase Warrant, dated May 30, 2019, between the Company and Redington, Inc. | | 10-Q | | 001-35312 | | August 8, 2019 | | 4.1 | | |||||||||||||||
| | | | | | | | | | | | |||||||||||||||||||||||||
| Form of Common Stock Purchase Warrant issued pursuant to the Securities Purchase Agreement, dated October 23, 2019, among the Company and the purchasers signatory thereto | | 8-K | | 001-35312 | | October 23, 2019 | | 4.1 | | ||||||||||||||||||||||||||
| | | | | | |||||||||||||||||||||||||||||||
| Form of Common Stock Purchase Warrant issued pursuant to the Securities Purchase Agreement, dated November 4, 2019, among the Company and the purchasers signatory thereto | | 8-K | | 001-35312 | | November 4, 2019 | | 4.1 | | ||||||||||||||||||||||||||
| | | | | | |||||||||||||||||||||||||||||||
| Form of Common Stock Pre-Funded Purchase Warrant issued pursuant to the Securities Purchase Agreement, dated November 4, 2019, among the Company and the purchasers signatory thereto | | 8-K | | 001-35312 | | November 4, 2019 | | 4.2 | | ||||||||||||||||||||||||||
| | | | | |
| | | Incorporated By Reference | | | | | | | Incorporated By Reference | | | | |||||||||||||||||||||||
Exhibit Number | | Exhibit Description | | Form | | File Number | | Date of First Filing | | Exhibit Number | | Filed Herewith | | Exhibit Description | | Form | | File Number | | Date of First Filing | | Exhibit Number | | Filed Herewith | ||||||||||||
4.12 | | | 8-K | | 001-35312 | | October 23, 2019 | | 4.1 | | ||||||||||||||||||||||||||
| | | | | | |||||||||||||||||||||||||||||||
4.13 | | | 8-K | | 001-35312 | | November 4, 2019 | | 4.1 | | ||||||||||||||||||||||||||
| | | | | | |||||||||||||||||||||||||||||||
4.14 | | | 8-K | | 001-35312 | | November 4, 2019 | | 4.2 | | ||||||||||||||||||||||||||
| | | | | | |||||||||||||||||||||||||||||||
4.15 | | | S-1/A | | 333-235385 | | January 23, 2020 | | 4.15 | | | Form of Common Stock Purchase Warrant | | S-1/A | | 333-235385 | | January 23, 2020 | | 4.15 | | |||||||||||||||
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4.16 | | | 8-K | | 001-35312 | | March 20, 2020 | | 4.1 | | | Form of Common Stock Purchase Warrant issued pursuant to the Securities Purchase Agreement, dated March 19, 2020, among the Company and the purchasers identified on the signature pages thereto | | 8-K | | 001-35312 | | March 20, 2020 | | 4.1 | | |||||||||||||||
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4.17 | | | 8-K | | 001-35312 | | March 30, 2020 | | 4.1 | | | Form of Common Stock Purchase Warrant issued pursuant to the Securities Purchase Agreement, dated March 30, 2020, among the Company and the purchasers identified on the signature pages thereto | | 8-K | | 001-35312 | | March 30, 2020 | | 4.1 | | |||||||||||||||
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4.18 | | | 8-K | | 001-35312 | | May 4, 2020 | | 4.1 | | | Form of Common Stock Purchase Warrant issued pursuant to the Securities Purchase Agreement, dated May 1, 2020, among the Company and the purchasers identified on the signature pages thereto | | 8-K | | 001-35312 | | May 4, 2020 | | 4.1 | | |||||||||||||||
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4.19* | | Form of Warrant to purchase shares of common stock | | | | | | |||||||||||||||||||||||||||||
| Form of Warrant to Purchase Shares of Common Stock | | S-1/A | | 333-24145 | | August 17, 2020 | | 4.19 | | ||||||||||||||||||||||||||
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5.1* | | Opinion of Honigman LLP | | | | | | |||||||||||||||||||||||||||||
| Warrant to purchase shares of common stock | | | | | | X | |||||||||||||||||||||||||||||
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| Specimen of Common Stock Certificate | | 10 | | 001-35312 | | September 30, 2011 | | 4.1 | | ||||||||||||||||||||||||||
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| Opinion of Honigman LLP | | | | | | X | |||||||||||||||||||||||||||||
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10.1 | | | 8-K | | 001-35312 | | August 8, 2016 | | 10.1 | | | Patent License Agreement between Sunshine Heart, Inc. and Gambro UF Solutions, Inc. dated August 5, 2016 | | 8-K | | 001-35312 | | August 8, 2016 | | 10.1 | | |||||||||||||||
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| Loan and Security Agreement between Sunshine Heart, Inc. and Silicon Valley Bank dated August 5, 2016 | | 8-K | | 001-35312 | | August 8, 2016 | | 10.2 | | ||||||||||||||||||||||||||
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| Amended and Restated 2002 Stock Plan† | | 10 | | 001-35312 | | December 16, 2011 | | 10.2 | | ||||||||||||||||||||||||||
| | | | | |
| | | Incorporated By Reference | | | | | | | Incorporated By Reference | | | | |||||||||||||||||||||||
Exhibit Number | | Exhibit Description | | Form | | File Number | | Date of First Filing | | Exhibit Number | | Filed Herewith | | Exhibit Description | | Form | | File Number | | Date of First Filing | | Exhibit Number | | Filed Herewith | ||||||||||||
10.2 | | | 8-K | | 001-35312 | | August 8, 2016 | | 10.2 | | ||||||||||||||||||||||||||
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10.3 | | | 10 | | 001-35312 | | December 16, 2011 | | 10.2 | | ||||||||||||||||||||||||||
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10.4 | | | 10 | | 001-35312 | | September 30, 2011 | | 10.3 | | | Form of Notice of Stock Option Grant and Option Agreement for Amended and Restated 2002 Stock Plan† | | 10 | | 001-35312 | | September 30, 2011 | | 10.3 | | |||||||||||||||
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10.5 | | | 14A | | 001-35312 | | July 27, 2012 | | App. A | | | Second Amended and Restated 2011 Equity Incentive Plan, as amended† | | 14A | | 001-35312 | | July 27, 2012 | | App. A | | |||||||||||||||
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10.6 | | | 10 | | 001-35312 | | September 30, 2011 | | 10.5 | | | Form of Stock Option Grant Notice and Option Agreement for 2011 Equity Incentive Plan† | | 10 | | 001-35312 | | September 30, 2011 | | 10.5 | | |||||||||||||||
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10.7 | | | 10 | | 001-35312 | | September 30, 2011 | | 10.6 | | | Form of Stock Option Grant Notice and Option Agreement (Senior Management) for 2011 Equity Incentive Plan† | | 10 | | 001-35312 | | September 30, 2011 | | 10.6 | | |||||||||||||||
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10.8 | | | 8-K | | 001-35312 | | September 18, 2012 | | 10.1 | | | Form of Stock Option Grant Notice and Option Agreement (Director) for 2011 Equity Incentive Plan† | | 8-K | | 001-35312 | | September 18, 2012 | | 10.1 | | |||||||||||||||
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10.9 | | | 8-K | | 001-35312 | | September 10, 2013 | | 10.1 | | | Form of Stock Grant Notice and Award Agreement for 2011 Equity Incentive Plan† | | 8-K | | 001-35312 | | September 10, 2013 | | 10.1 | | |||||||||||||||
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10.10 | | | 8-K | | 001-35312 | | September 10, 2013 | | 10.2 | | | Form of Restricted Stock Unit Grant Notice and Agreement for 2011 Equity Incentive Plan† | | 8-K | | 001-35312 | | September 10, 2013 | | 10.2 | | |||||||||||||||
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10.11 | | | 14A | | 001-35312 | | April 5, 2013 | | App. A | | | 2013 Non-Employee Directors’ Equity Incentive Plan† | | 14A | | 001-35312 | | April 5, 2013 | | App. A | | |||||||||||||||
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10.12 | | | 10-K | | 001-35312 | | May 29, 2013 | | 10.2 | | | Form of Stock Option Grant Notice and Option Agreement for 2013 Non-Employee Directors’ Equity Incentive Plan† | | 8-K | | 001-35312 | | May 29, 2013 | | 10.2 | | |||||||||||||||
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10.13 | | | 10-K | | 001-35312 | | March 20, 2015 | | 10.11 | | | Form of Restricted Stock Unit Award Grant Notice and Agreement for 2013 Non-Employee Directors’ Equity Incentive Plan† | | 10-K | | 001-35312 | | March 20, 2015 | | 10.11 | | |||||||||||||||
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10.14 | | | 10-Q | | 001-35312 | | August 8, 2013 | | 10.1 | | | New-Hire Equity Incentive Plan† | | 10-Q | | 001-35312 | | August 8, 2013 | | 10.1 | | |||||||||||||||
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| First Amendment to New-Hire Equity Incentive Plan† | | 10-Q | | 001-35312 | | November 12, 2013 | | 10.1 | | ||||||||||||||||||||||||||
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| Second Amendment to New-Hire Equity Incentive Plan† | | S-8 | | 333-202904 | | March 20, 2015 | | 99.12 | | ||||||||||||||||||||||||||
| | | | | |
| | | Incorporated By Reference | | | | | | | Incorporated By Reference | | | | |||||||||||||||||||||||
Exhibit Number | | Exhibit Description | | Form | | File Number | | Date of First Filing | | Exhibit Number | | Filed Herewith | | Exhibit Description | | Form | | File Number | | Date of First Filing | | Exhibit Number | | Filed Herewith | ||||||||||||
10.15 | | | 10-Q | | 001-35312 | | November 12, 2013 | | 10.1 | | ||||||||||||||||||||||||||
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10.16 | | | S-8 | | 333-202904 | | March 20, 2015 | | 99.12 | | ||||||||||||||||||||||||||
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10.17 | | | S-8 | | 333-210215 | | March 15, 2016 | | 99.13 | | | Third Amendment to New-Hire Equity Incentive Plan† | | S-8 | | 333-210215 | | March 15, 2016 | | 99.13 | | |||||||||||||||
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10.18 | | | 8-K | | 001-35312 | | May 30, 2017 | | 10.4 | | | Fourth Amendment to New-Hire Equity Incentive Plan† | | 8-K | | 001-35312 | | May 30, 2017 | | 10.4 | | |||||||||||||||
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10.19 | | | 8-K | | 001-35312 | | January 18, 2018 | | 10.1 | | | Fifth Amendment to New-Hire Equity Incentive Plan† | | 8-K | | 001-35312 | | January 18, 2018 | | 10.1 | | |||||||||||||||
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10.20 | | | 10-Q | | 001-35312 | | November 12, 2013 | | 10.2 | | | Sixth Amendment to New-Hire Equity Incentive Plan† | | 10-Q | | 001-35312 | | August 8, 2019 | | 10.2 | | |||||||||||||||
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10.21 | | | 8-K | | 001-35312 | | May 30, 2017 | | 10.1 | | | Seventh Amendment to New-Hire Equity Incentive Plan† | | 8-K | | 001-35312 | | December 6, 2019 | | 10.1 | | |||||||||||||||
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10.22 | | | 8-K | | 001-35312 | | May 30, 2017 | | 10.2 | | | Eighth Amendment to New-Hire Equity Incentive Plan† | | 8-K/A | | 001-35312 | | February 25, 2021 | | 10.1 | | |||||||||||||||
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10.23 | | | 8-K | | 001-35312 | | May 30, 2017 | | 10.3 | | | Form of Stock Option Grant Notice and Option Agreement for New-Hire Equity Incentive Plan† | | 10-Q | | 001-35312 | | November 12, 2013 | | 10.2 | | |||||||||||||||
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10.24 | | | 10 | | 001-35312 | | September 30, 2011 | | 10.1 | | | 2017 Equity Incentive Plan† | | 8-K | | 001-35312 | | May 30, 2017 | | 10.1 | | |||||||||||||||
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10.25 | | | 10-K | | 001-35312 | | March 20, 2015 | | 10.16 | | | First Amendment to the 2017 Equity Incentive Plan† | | 14A | | 001-35312 | | September 11, 2020 | | App. A | | |||||||||||||||
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10.26 | | | 10-Q | | 001-35312 | | November 8, 2019 | | 10.12 | | | Form of Stock Option Grant Notice and Option Agreement for 2017 Equity Incentive Plan† | | 8-K | | 001-35312 | | May 30, 2017 | | 10.2 | | |||||||||||||||
| | | | | | | | | | | | |||||||||||||||||||||||||
10.27 | | | 10 | | 001-35312 | | December 16, 2011 | | 10.18 | | | Form of Restricted Stock Unit Grant Notice and Restricted Stock Unit Agreement for 2017 Equity Incentive Plan† | | 8-K | | 001-35312 | | May 30, 2017 | | 10.3 | | |||||||||||||||
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10.28 | | | 8-K | | 001-35312 | | April 23, 2015 | | 10.1 | | | Nuwellis, Inc. 2021 Inducement Plan† | | 8-K | | 001-35312 | | May 20, 2021 | | 10.1 | | |||||||||||||||
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| First Amendment to the 2021 Inducement Plan† | | 8-K | | 001-35312 | | April 21, 2022 | | 10.1 | | ||||||||||||||||||||||||||
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| Form of Stock Option Grant Notice, Option Agreement and Notice of Exercise under the Nuwellis, Inc. 2021 Inducement Plan† | | 8-K | | 001-35312 | | May 20, 2021 | | 10.2 | | ||||||||||||||||||||||||||
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| Form of Indemnity Agreement for the Company’s executive officers and directors† | | 10 | | 001-35312 | | September 30, 2011 | | 10.1 | | ||||||||||||||||||||||||||
| | | | | |
| | | Incorporated By Reference | | | | | | | Incorporated By Reference | | | | |||||||||||||||||||||||
Exhibit Number | | Exhibit Description | | Form | | File Number | | Date of First Filing | | Exhibit Number | | Filed Herewith | | Exhibit Description | | Form | | File Number | | Date of First Filing | | Exhibit Number | | Filed Herewith | ||||||||||||
10.29 | | | 10-Q | | 001-35312 | | November 7, 2018 | | 10.2 | | ||||||||||||||||||||||||||
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10.30 | | | 8-K | | 001-35312 | | March 2, 2016 | | 10.1 | | ||||||||||||||||||||||||||
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10.31 | | | 8-K | | 001-35312 | | December 16, 2016 | | 10.1 | | ||||||||||||||||||||||||||
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10.32 | | | 8-K | | 003-35312 | | February 16, 2017 | | 10.1 | | | Form of Change in Control Agreement for the Company’s executive officers† | | 10-K | | 001-35312 | | March 20, 2015 | | 10.16 | | |||||||||||||||
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10.33 | | | 8-K | | 001-35312 | | April 25, 2017 | | 10.1 | | | Non-Employee Director Compensation Policy (effective August 18, 2021)† | | 10-Q | | 001-35312 | | November 10, 2021 | | 10.2 | | |||||||||||||||
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10.34 | | | 8-K | | 001-35312 | | November 28, 2017 | | 10.1 | | | Lease Agreement dated October 21, 2011 by and between the Company and Silver Prairie Crossroads, LLC | | 10 | | 001-35312 | | December 16, 2011 | | 10.18 | | |||||||||||||||
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10.35 | | | 8-K | | 001-35312 | | June 29, 2018 | | 10.1 | | | Second Amendment to Lease, dated as of April 20, 2015, by and between the Company and Capital Partners Industrial Fund I, LLLP dba Prairie Crossroads Business Center | | 8-K | | 001-35312 | | April 23, 2015 | | 10.1 | | |||||||||||||||
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10.36 | | | 10-K | | 001-35312 | | February 21, 2019 | | 10.44 | | | Third Amendment to Lease, dated as of August 3, 2018, by and between the Company and Capital Partners Industrial Fund I, LLLP | | 10-Q | | 001-35312 | | November 7, 2018 | | 10.2 | | |||||||||||||||
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| Fourth Amendment to Lease, dated as of November 18, 2021, by and between the Company and Capital Partners Industrial Fund I, LLLP | | 8-K | | 01-35312 | | November 23, 2021 | | 10.1 | | ||||||||||||||||||||||||||
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10.38 | | | 8-K | | 001-35312 | | March 13, 2019 | | 4.2 | | | Executive Employment Agreement between Sunshine Heart, Inc. and John L. Erb, dated March 1, 2016† | | 8-K | | 001-35312 | | March 2, 2016 | | 10.1 | | |||||||||||||||
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10.39 | | | 8-K | | 001-35312 | | March 13, 2019 | | 1.1 | | | Letter Agreement dated February 15, 2017 among the Company, Sabby Volatility Warrant Master Fund, Ltd. and Sabby Healthcare Master Fund, Ltd. | | 8-K | | 001-35312 | | February 16, 2017 | | 10.1 | | |||||||||||||||
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10.40 | | | 10-Q | | 001-35312 | | May, 9, 2019 | | 10.3 | | | Warrant Agency Agreement between the Company and American Stock Transfer & Trust Company, LLC dated April 24, 2017 | | 8-K | | 001-35312 | | April 25, 2017 | | 10.1 | | |||||||||||||||
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| Warrant Agency Agreement, by and between CHF Solutions, Inc. and American Stock Transfer & Trust Company, LLC dated November 27, 2017 | | 8-K | | 001-35312 | | November 28, 2017 | | 10.1 | | ||||||||||||||||||||||||||
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| Form of Warrant Reprice Agreement | | 8-K | | 001-35312 | | June 29, 2018 | | 10.1 | | ||||||||||||||||||||||||||
| | | | | |
| | | Incorporated By Reference | | | | | | | Incorporated By Reference | | | | |||||||||||||||||||||||
Exhibit Number | | Exhibit Description | | Form | | File Number | | Date of First Filing | | Exhibit Number | | Filed Herewith | | Exhibit Description | | Form | | File Number | | Date of First Filing | | Exhibit Number | | Filed Herewith | ||||||||||||
10.41 | | | 10-Q | | 001-35312 | | May 9, 2019 | | 10.4 | | ||||||||||||||||||||||||||
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10.42 | | | 10-Q | | 001-35312 | | May 9, 2019 | | 10.5 | | ||||||||||||||||||||||||||
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10.43 | | | 10-Q | | 001-35312 | | August 8, 2019 | | 10.2 | | | Consulting Agreement, dated as of January 28, 2019, between CHF Solutions, Inc. and Steve Brandt† | | 10-K | | 001-35312 | | February 21, 2019 | | 10.44 | | |||||||||||||||
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10.44 | | | 8-K | | 001-35312 | | October 23, 2019 | | 1.1 | | | Warrant Agency Agreement, dated as of March 12, 2019, between the Company and American Stock Transfer & Trust Company, LLC | | 8-K | | 001-35312 | | March 13, 2019 | | 4.2 | | |||||||||||||||
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10.45 | | | 8-K | | 001-35312 | | October 23, 2019 | | 10.1 | | | Underwriting Agreement, dated as of March 8, 2019, by and between the Company and Ladenburg Thalmann & Co. Inc. | | 8-K | | 001-35312 | | March 13, 2019 | | 1.1 | | |||||||||||||||
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10.46 | | | 8-K | | 001-35312 | | November 4, 2019 | | 1.1 | | | Form of Employee Proprietary Information, Inventions Assignment and Non-Competition Agreement for the Company’s employees, including executive officers† | | 10-Q | | 001-35312 | | May, 9, 2019 | | 10.3 | | |||||||||||||||
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10.47 | | | 8-K | | 001-35312 | | November 4, 2019 | | 10.1 | | | Offer Letter, by and between the Company and Nestor Jaramillo, dated April 12, 2019† | | 10-Q | | 001-35312 | | May 9, 2019 | | 10.5 | | |||||||||||||||
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10.48 | | | 10-Q | | 001-35312 | | November 8, 2019 | | 10.1 | | | Placement Agency Agreement, dated as of October 23, 2019, by and between the Company and Ladenburg Thalmann & Co. Inc. | | 8-K | | 001-35312 | | October 23, 2019 | | 1.1 | | |||||||||||||||
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10.49 | | | 8-K | | 001-35312 | | December 6, 2019 | | 10.1 | | | Form of Securities Purchase Agreement, dated as of October 23, 2019, by and among the Company and the purchasers identified on the signature pages thereto | | 8-K | | 001-35312 | | October 23, 2019 | | 10.1 | | |||||||||||||||
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10.50 | | | 8-K | | 001-35312 | | January 29, 2020 | | 1.1 | | | Placement Agency Agreement, dated as of November 4, 2019, by and between the Company and Ladenburg Thalmann & Co. Inc. | | 8-K | | 001-35312 | | November 4, 2019 | | 1.1 | | |||||||||||||||
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10.51 | | | 8-K | | 001-35312 | | January 29, 2020 | | 4.2 | | | Form of Securities Purchase Agreement, dated as of November 4, 2019, by and among the Company and the purchasers identified on the signature pages thereto | | 8-K | | 001-35312 | | November 4, 2019 | | 10.1 | | |||||||||||||||
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| Underwriting Agreement dated as of January 24, 2020, by and between the Company and Ladenburg Thalmann & Co. Inc. | | 8-K | | 001-35312 | | January 29, 2020 | | 1.1 | | ||||||||||||||||||||||||||
| | | | | |
| | | | Incorporated By Reference | | | | | ||||||||||
Exhibit Number | | | Exhibit Description | | | Form | | | File Number | | | Date of First Filing | | | Exhibit Number | | | Filed Herewith |
| | Warrant Agency Agreement, dated as of January 28, 2020, between the Company and American Stock Transfer & Trust Company, LLC | | | 8-K | | | 001-35312 | | | January 29, 2020 | | | 4.2 | | | ||
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| | Placement Agency Agreement, dated as of March 19, 2020, by and between the Company and Ladenburg Thalmann & Co. Inc. | | | 8-K | | | 001-35312 | | | March 20, 2020 | | | 1.1 | | | ||
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| | Form of Securities Purchase Agreement, dated as of March 19, 2020, by and among the Company and the purchasers identified on the signature pages thereto | | | 8-K | | | 001-35312 | | | March 20, 2020 | | | 10.1 | | | ||
| | | | | | | | | | | | |||||||
| | Placement Agency Agreement, dated as of March 30, 2020, by and between the Company and Ladenburg Thalmann & Co. Inc. | | | 8-K | | | 001-35312 | | | March 30, 2020 | | | 1.1 | | | ||
| | | | | | | | | | | | |||||||
| | Form of Securities Purchase Agreement, dated as of March 30, 2020, by and among the Company and the purchasers identified on the signature pages thereto | | | 8-K | | | 001-35312 | | | March 30, 2020 | | | 10.1 | | | ||
| | | | | | | | | | | | |||||||
| | Placement Agency Agreement, dated as of May 1, 2020, by and between the Company and Ladenburg Thalmann & Co. Inc. | | | 8-K | | | 001-35312 | | | May 4, 2020 | | | 1.1 | | | ||
| | | | | | | | | | | | |||||||
| | Form of Securities Purchase Agreement, dated as of May 1, 2020, by and among the Company and the purchasers identified on the signature pagers thereto | | | 8-K | | | 001-35312 | | | May 4, 2020 | | | 10.1 | | | ||
| | | | | | | | | | | | |||||||
| | Lock-Up and Voting Agreement | | | S-1/A | | | 333-24145 | | | August 17, 2020 | | | 4.20 | | | ||
| | | | | | | | | | | | |||||||
| | Underwriting Agreement, dated as of August 19, 2020, by and between the Company and Ladenburg Thalman & Co. Inc. | | | 8-K | | | 0001-35312 | | | August 21, 2020 | | | 1.1 | | | ||
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| | Warrant Agency Agreement, dated as of August 21, 2020, between the Company and American Stock Transfer & Trust Company, LLC | | | 8-K | | | 001-35312 | | | August 21, 2020 | | | 4.2 | | | ||
| | | | | | | | | | | |
| | | | Incorporated By Reference | | | | | ||||||||||
Exhibit Number | | | Exhibit Description | | | Form | | | File Number | | | Date of First Filing | | | Exhibit Number | | | Filed Herewith |
10.52 | | | | | 8-K | | | 001-35312 | | | March 20, 2020 | | | 1.1 | | | ||
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10.53 | | | | | 8-K | | | 001-35312 | | | March 20, 2020 | | | 10.1 | | | ||
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10.54 | | | | | 8-K | | | 001-35312 | | | March 30, 2020 | | | 1.1 | | | ||
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10.55 | | | | | 8-K | | | 001-35312 | | | March 30, 2020 | | | 10.1 | | | ||
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10.56 | | | | | 8-K | | | 001-35312 | | | May 4, 2020 | | | 1.1 | | | ||
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10.57 | | | | | 8-K | | | 001-35312 | | | May 4, 2020 | | | 10.1 | | | ||
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21 | | | | | 10-K | | | 001-35312 | | | March 5, 2020 | | | 21 | | | ||
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23.1 | | | | | | | | | | | | | X | |||||
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23.2 | | | Consent of Honigman LLP | | | | | | | | | Included in Exhibit 5.1 | | | ||||
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24 | | | | | | | | | | | | | X |
| | | | Incorporated By Reference | | | | | ||||||||||
Exhibit Number | | | Exhibit Description | | | Form | | | File Number | | | Date of First Filing | | | Exhibit Number | | | Filed Herewith |
| | Executive Employment Agreement, dated January 16, 2021, by and between the Company and Nestor Jaramillo, Jr.† | | | 8-K | | | 001-35312 | | | January 19, 2021 | | | 10.1 | | | ||
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| | Executive Employment Agreement, dated January 16, 2021, by and between the Company and John L. Erb† | | | 8-K | | | 001-35312 | | | January 19, 2021 | | | 10.2 | | | ||
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| | Underwriting Agreement, dated March 17, 2021, between the Company and Ladenburg Thalmann & Co., Inc. as the Representative of the several underwriters named in Schedule I thereto | | | 8-K | | | 001-35312 | | | March 17, 2021 | | | 1.1 | | | ||
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| | Offer Letter by and between the Company and George Montague, effective as of June 28, 2021† | | | 8-K | | | 001-35312 | | | June 22, 2021 | | | 10.1 | | | ||
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| | Offer letter by and between the Company and Neil P. Ayotte, effective as of June 7, 2021† | | | 10-Q | | | 001-35312 | | | August 12, 2021 | | | 10.4 | | | ||
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| | Underwriting Agreement dated September 15, 2021, between the Company and Ladenburg Thalmann & Co. Inc., as the Representative of the several underwriters named in Schedule I thereto | | | 8-K | | | 001-35312 | | | September 17, 2021 | | | 1.1 | | | ||
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| | Form of Warrant Agency Agreement | | | | | | | | | | | X | |||||
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| | Leak-Out Agreement | | | | | | | | | | | X | |||||
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| | List of Subsidiaries | | | 10-K | | | 001-35312 | | | March 3, 2022 | | | 21 | | | ||
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| | Consent of Baker Tilly US, LLP | | | | | | | | | | | X | |||||
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| | Consent of Honigman LLP | | | | | | | | | Included in Exhibit 5.1 | | | |||||
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| | Power of Attorney | | | S-1 | | | 333-267368 | | | September 9, 2022 | | | 24 | | | ||
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| | Filing Fee Table | | | | | | | | | | | X |
† | Indicates management compensatory plan, contract or arrangement. |
Item 17. | Undertakings. |
(1) | The undersigned registrant hereby undertakes: |
a. | That, for the purpose of determining any liability under the Securities Act of 1933, each such post-effective amendment shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof. |
b. | To remove from registration by means of a post-effective amendment any of the securities being registered which remain unsold at the termination of the offering. |
c. |
For the purpose of determining any liability under the Securities Act of 1933, each post-effective amendment that |
d. | That, for the purpose of determining liability of the registrant under the Securities Act of 1933 to any purchaser in the initial distribution of the securities: |
| The undersigned registrant undertakes that in a primary offering of securities of the undersigned registrant pursuant to this registration statement, regardless of the underwriting method used to sell the securities to the purchaser, if the securities are offered or sold to such purchaser by means of any of the following communications, the undersigned registrant will be a seller to the purchaser and will be considered to offer or sell such securities to such purchaser: |
(i) | Any preliminary prospectus or prospectus of the undersigned registrant relating to the offering required to be filed pursuant to Rule 424; |
(ii) | Any free writing prospectus relating to the offering prepared by or on behalf of the undersigned registrant or used or referred to by the undersigned registrant; |
(iii) | The portion of any other free writing prospectus relating to the offering containing material information about the undersigned registrant or its securities provided by or on behalf of the undersigned registrant; and |
(iv) | Any other communication that is an offer in the offering made by the undersigned registrant to the purchaser. |
(2) | Insofar as indemnification for liabilities arising under the Securities Act of 1933 may be permitted to directors, officers and controlling persons of the registrant pursuant to the foregoing provisions, or otherwise, the registrant has been advised that in the opinion of the Securities and Exchange Commission such indemnification is against public policy as expressed in the Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the Registrant of expenses incurred or paid by a director, officer or controlling person of the registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, the registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the |
(3) | The undersigned registrant hereby undertakes that, for purposes of determining any liability under the Securities Act of 1933, each filing of the registrant’s annual report pursuant to section 13(a) or section 15(d) of the Securities Exchange Act of 1934 (and, where applicable, each filing of |
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| | By: | | | /s/ | |
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| | | | Chief Executive Officer |
Signature | | | Title | | | Date |
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John L. Erb | | |||||
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/s/ | | | Officer and (principal executive officer) | | | |
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| | (principal financial officer and principal accounting officer) | | | ||
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| | Director | | | ||
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| | Director | | | ||
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| | Director | | | ||
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| | Director | | | ||
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* | | | Director | | | September 29, 2022 |
Warren Watson | |
*By: | | | /s/ Nestor Jaramillo, Jr. | | | |
| | Nestor Jaramillo, Jr. Attorney-in-fact | | |