美國

證券交易委員會

華盛頓特區20549

表格 8-K

根據交易所法案第13或第15(d)條的最新報告

《1934年證券交易所法案》

報告日期（最早報告事項日期）：2024年11月5日

Nuwellis, Inc.

（依據其憲章指定的註冊名稱）

12988 Valley View Road, Eden Prairie, 明尼蘇達州 55344

（總部地址）（郵編）

(952) 345-4200

(註冊人電話號碼，包括區號)

在法案第12(b)條的規定下注冊的證券：

如果Form 8-K註冊是爲了同時滿足註冊人在以下任何一項中的申報義務，請勾選適當的方框:

請勾選是否爲新興成長型企業，如定義於1933年證券法規則405條（本章第230.405條）或1934年證券交易法規則120億.2條（本章第2401.2億.2條）。

新興成長公司 ☐

如果是新興成長型企業，應勾選，表示註冊人已作出選擇，不使用按照證券交易法第13(a)條規定提供的任何新的或修訂的金融會計準則的延長過渡期進行合規。☐

---

認股權誘因

如前所述，2024年4月30日，Nuwellis，Inc.（" 公司）發行並出售了8,419,996股股票（"公司”）在盡最大努力的註冊公開發行中股份分銷商”，股票的發行和出售。普通股預先融資認股權證可以購買總共2,830,004股普通股和普通認股證（“2024年4月認股權證）用於購買總共16,875,000股普通股。2024年4月認股權證當前行使價格爲每股2.10美元，可立即行使，並在發行日期後五年到期。

2024年11月5日，該公司與某些投資者簽訂了認股權誘因提供函（“誘因函”），立即行使該類投資者持有的約180萬份2024年4月認股權證。誘因要約作爲行使2024年4月認股權證的考慮，根據誘導書的條款，公司向投資者發行了一份新的I系列普通股認購權證（"I系列權證和一份新的II系列普通股認購權證（"II系列權證），在每種情況下，可購買的普通股數量等於根據對應的2024年4月認股權證立即行使而發行的普通股數量的100%。I系列權證的行權價格爲$1.94，自發行之日起六（6）個月內行使，並且從初始行使之日起的五（5）年內有效。II系列權證的行權價格爲$1.94，自發行之日起六（6）個月內行使，並且從初始行使之日起的兩（2）年內有效。

我們還向認購代理（如下文所定義）或其指定的人發行了一份權證，以購買最多54,976股我們的普通股（"承銷商認股權證”) as part of the compensation payable to the Placement Agent in connection with this offering. The Placement Agent Warrants have substantially the same terms as the Series I Warrants described above, except that the Placement Agent Warrants have an exercise price of $3.465 per share.

The Company received aggregate gross proceeds of approximately $380萬 from the exercise of the April 2024 Warrants resulting in the issuance of up to an aggregate of approximately 180萬 shares of Common Stock and a pro forma shares of Common Stock outstanding of approximately 410萬 after giving effect to the exercise of the April 2024 Warrants, subject to application of applicable beneficial ownership blockers. As of November 5, 2024, the Company had 2,237,569 shares of common stock issued and outstanding.

The Series I Warrants, the Series II Warrants, the Placement Agent Warrants, and the shares underlying such warrants are being issued in a private placement pursuant to Section 4(a)(2) of the Securities Act of 1933 (the “證券法”) and will be unregistered. The Company has agreed, within fifteen (15) days of the closing, to file a registration statement with the Securities and Exchange Commission (the “SEC”) on the appropriate form covering the resale of the shares of Common Stock underlying the Series I Warrants, Series II Warrants and Placement Agent Warrants, and shall use commercially reasonable efforts to cause such registration statement to become effective within sixty (60) days (or ninety (90) days if the SEC notifies the Company that it will 「review」 the registration statement).

Subject to certain exceptions, for a period of fifteen (15) days following the date hereof, the Company has agreed not to issue any shares of Common Stock or securities convertible into or exercisable or exchangeable for, or that would otherwise entitle the holder thereof to receive, Common Stock. Also, from the date of pricing until February 26, 2025, the Company shall be prohibited from effecting or entering into an agreement to effect any issuance by the Company or any of its subsidiaries of common stock or common stock equivalents (or a combination of units thereof) involving a defined 「Variable Rate Transaction,」 subject to certain exceptions.

Ladenburg Thalmann & Co. Inc. (the “配售代理”) acted as the exclusive warrant inducement agent and financial advisor to the Company in connection with the Inducement Offer. The Company agreed to pay the Placement Agent an aggregate cash fee equal to 8.0% of the gross proceeds received by the Company from the Inducement Offer and up to an aggregate amount of $90,000 for the Placement Agent’s legal fees and out-of-pocket expenses.

Prior to the repricing and execution of the Inducement Letters, the Company received an additional approximately $130萬 upon the exercise of outstanding warrants in accordance with their original terms.

The description of the terms and conditions of the Series I Warrants, Series II Warrants, Placement Agent Warrants, and Inducement Letters set forth herein does not purport to be complete and is qualified in its entirety by reference to the full text of the form of the Series I Warrants, Series II Warrants, Placement Agent Warrants, and Inducement Letters attached hereto as Exhibits 4.1, 4.2, 4.3 and 10.1, respectively.

根據8-k表格中第1.01項披露的關於未經註冊出售I系列權證、II系列權證和認購代理權證，以及其下屬可行權普通股股份的信息，現已納入參考。上述第1.01項中描述的I系列權證、II系列權證和認購代理權證是根據適用於豁免1933年證券法註冊要求的私下定向增發方式發行的，並且其下屬可行權普通股股份也未在證券法下注冊，未經註冊或豁免，不得在美國進行銷售，除非在SEC註冊或適用的豁免下。這些證券僅向合格投資者提供。

本報告不構成出售要約或購買邀約，也不得在任何州或司法管轄區內在證券法註冊或合格之前在違法的情況下出售這些證券。

本次8-k表格中的1.01項目披露的引誘信函信息已被引述。

2024年11月5日，公司發佈了一份公告宣佈誘導要約。該公告的副本作爲展品99.1提交，並已納入參考。

項目9.01。

財務報表和展示文件。

(d) 附件

簽名

根據1934年證券交易法的要求，登記公司在此由下面的被授權代表簽署報告： 授權人已獲得充分授權簽署本報告。 日期：2024年6月4日 INSMED INCORPORATED。

---