Nuwellis director files Form 3 with no share ownership

Nuwellis, Inc. director Katharyn Field filed an initial ownership report on Form 3 stating that she currently has no beneficial ownership of Nuwellis securities.

Rhea-AI Filing Summary

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.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the Nuwellis (NUWE) Form 3 filed by Katharyn Field report?

The Form 3 reports that director Katharyn Field holds no Nuwellis securities. It is an initial statement of beneficial ownership indicating that, as of the event date, no shares or derivative securities of Nuwellis, Inc. are beneficially owned by her.

Who is the reporting person on the Nuwellis (NUWE) Form 3 filing?

The reporting person is Katharyn Field, a director of Nuwellis, Inc. The filing identifies her relationship to the issuer as a director and confirms that the Form 3 is filed by one reporting person, not a joint or group filing.

Does the Nuwellis (NUWE) Form 3 show any shares owned by Katharyn Field?

No, the filing states that no securities are beneficially owned. Both the non-derivative and derivative securities tables contain no holdings, and the explanation of responses explicitly confirms that there are no securities beneficially owned by the reporting person.

What type of securities are covered in this Nuwellis (NUWE) Form 3?

The Form 3 covers both non-derivative and derivative securities. It includes tables for common equity and instruments like options or warrants, but in this case all sections indicate zero beneficial ownership, with an explicit note that no securities are beneficially owned.

Is the Nuwellis (NUWE) Form 3 a joint filing with other reporting persons?

No, it is filed by one reporting person only. The form indicates that it is a single-person filing, with no additional reporting persons or group filers listed, and attributes all disclosed information solely to director Katharyn Field.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 02/11/2026 - 03:35 PM EST Learn about SEC filing dates

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0104
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hours per response:			0.5

1. Name and Address of Reporting Person^*

Field Katharyn

(Last) (First) (Middle)

C/O NUWELLIS

12988 VALLEY VIEW ROAD

(Street)

EDEN PRAIRE MN 55344

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
01/21/2026

3. Issuer Name and Ticker or Trading Symbol
Nuwellis, Inc. [ NUWE ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

No securities are beneficially owned.

	Katharyn Field	02/11/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.