Welcome to our dedicated page for Nuwellis SEC filings (Ticker: NUWE), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
This page provides access to U.S. Securities and Exchange Commission (SEC) filings for Nuwellis, Inc. (Nasdaq: NUWE), a medical technology and medical device company focused on precision fluid management for patients with cardio-renal conditions and fluid overload. Through these filings, investors can review how Nuwellis reports its financial performance, material events, and key developments related to its Aquadex SmartFlow® ultrafiltration system and its Vivian™ pediatric continuous renal replacement therapy (CRRT) platform in development.
Current report filings (Form 8-K) for Nuwellis often cover topics such as quarterly financial results, changes in executive roles, new patents, NIH grant-supported programs, FDA 510(k) clearances for accessories like catheters, and at-the-market equity offering agreements. Some 8-K filings also reference press releases announcing clinical registry findings, such as the ULTRA-Peds pediatric Aquadex registry, or new intellectual property supporting pediatric safety features and hemolysis sensing in extracorporeal circuits.
Annual reports on Form 10-K and quarterly reports on Form 10-Q (when available) provide more detailed discussions of Nuwellis’ business, including its focus on fluid overload, its Aquadex SmartFlow system, development-stage technologies like Vivian, and its geographic footprint with headquarters in Minneapolis and a subsidiary in Ireland. These filings also describe risk factors, liquidity, capital-raising activities, and other information relevant to NUWE shareholders.
Stock Titan’s platform enhances these SEC documents with AI-powered summaries that explain the key points of lengthy filings, highlight important changes from prior periods, and help users quickly understand complex disclosures. Investors can also use this page to follow real-time updates as new Nuwellis filings are posted to EDGAR, including current reports, registration statements, and other material submissions related to NUWE.
Nuwellis, Inc. director David McDonald reported his holdings of nonstatutory stock options in a Form 3. Following the reported positions, one option grant covers 7 underlying shares and another covers 416 underlying shares, both held directly. One option is fully vested and another vests in 12 approximately equal monthly installments.
Nuwellis, Inc. filed an initial ownership report for its Chief Financial Officer, Carisa Schultz. The Form 3 states that, as of the event date of 01/28/2026, no securities of Nuwellis are beneficially owned by the reporting person. An exhibit containing a Power of Attorney is attached.
Nuwellis, Inc. director Katharyn Field filed an initial ownership report on Form 3 stating that she currently has no beneficial ownership of Nuwellis securities. The filing confirms her status as a director and that, as of the reported event date, no company shares or derivatives are attributed to her.
Nuwellis, Inc. director Mika Grasso filed an initial ownership report stating that, as of 01/21/2026, no securities of Nuwellis are beneficially owned. The Form 3 lists no non-derivative or derivative holdings, indicating zero reported ownership at the time of the triggering event.
Nuwellis, Inc. is registering up to 4,279,325 shares of common stock for resale by existing security holders. These shares consist of stock issuable upon exercise of January 2026 pre-funded warrants, common stock purchase warrants, and placement agent warrants.
The company is not selling shares in this offering and will not receive proceeds from resale by the selling stockholders. Nuwellis will receive cash only if the related warrants are exercised for cash, which could total approximately $13.0 million if all warrants are fully exercised. Shares of common stock outstanding were 1,873,892 as of January 31, 2026, and would rise to 6,863,894 if all registered warrants are exercised.
The warrants generally have a strike price of $2.84 per share for investor warrants and $5.0985 per share for placement agent warrants, with holder beneficial ownership limited to 4.99%, or 9.99% upon notice. The filing highlights that substantial resales could pressure the stock price and that warrants may not be exercised if market prices stay below the exercise prices.
Nuwellis, Inc. filed a resale registration covering up to 4,279,325 shares of common stock issuable from previously issued warrants held by selling stockholders. These shares come from January 2026 pre-funded warrants, common stock purchase warrants, January inducement warrants, and placement agent warrants.
Nuwellis will not sell shares directly in this offering and will not receive proceeds from stockholder resales, but may receive up to approximately $28 million if all registered warrants are exercised for cash. As of January 31, 2026, Nuwellis had 1,873,892 shares of common stock outstanding, before any warrant exercises.
Nuwellis, Inc. entered a securities purchase agreement for a private placement of pre-funded and common stock warrants, raising approximately $3.1 million in gross proceeds to support working capital and general corporate purposes. The company also induced an investor to immediately exercise certain existing warrants at a reduced exercise price, generating approximately $2 million of additional gross proceeds and issuing new five-year common stock purchase warrants. As of January 29, 2026, Nuwellis had 1,686,892 shares of common stock outstanding.
Nuwellis agreed to acquire all shares of Rendiatech, Ltd., which holds assets from RenalSense’s bankruptcy, for a mix of cash, 150,000 Nuwellis shares, options to purchase 30,000 shares, additional deferred cash payments, and up to $2,000,000 in earn-out royalties tied to sales of kidney monitoring products. The transaction is subject to closing conditions, including Israeli tax approval. The company also appointed Carisa Schultz as Chief Financial Officer, effective February 2, 2026, with a base salary of
Nuwellis, Inc. reported significant board changes. On January 21, 2026, directors Dave McDonald, Mike McCormick, and Dr. Maria Costanzo resigned from the board and all committees. The company states these resignations were not due to any disagreement over operations, policies, or practices, and the board size was reduced from six to five members.
Effective the same day, the board appointed Katharyn Field and Mika Grasso as Class I directors, with terms running until the 2026 annual meeting. The board determined both are independent under Nasdaq, internal policy, and SEC standards. Field is expected to join the Audit and Compensation Committees, while Grasso is expected to join the Audit and Nominating and Corporate Governance Committees.
Both new directors entered into Nuwellis’ standard indemnity agreement and are eligible under the Non-Employee Director Compensation Program. Each has agreed to resign if an investment of at least $5 million in the company’s equity securities is not made within 30 days of the filing of a related Form S-1 registration statement, or within 30 days of clearing any SEC comments on that filing.