Nuwellis (NUWE) investor reports 6.2% stake via shares and capped warrants

Rhea-AI Filing Summary

Nuwellis, Inc. received a beneficial ownership report from Lind Global Fund III LP, Lind Global Partners III LLC, and Jeff Easton. Each reporting person reports beneficial ownership of 193,050 shares of common stock, representing 6.2% of the outstanding common stock.

The position consists of 193,050 shares and 193,050 warrants to purchase common stock. A warrant provision limits conversions that would cause ownership above 4.99%, so beneficial ownership is capped at an aggregate 193,050 shares. Each reporting person has sole voting and dispositive power over these reported shares.

Key Figures

Beneficially owned shares: 193,050 shares Beneficial ownership percentage: 6.2% Warrants held: 193,050 warrants +2 more

5 metrics

Beneficially owned shares 193,050 shares Common stock beneficially owned by each reporting person

Beneficial ownership percentage 6.2% Percent of Nuwellis common stock class reported by each reporting person

Warrants held 193,050 warrants Warrants to purchase Nuwellis common stock held by reporting persons

Beneficial ownership limitation 4.99% Warrant provision limiting conversions above this ownership level

Sole voting power 193,050 shares Shares over which each reporting person has sole voting power

Key Terms

beneficial ownership, Sole Voting Power, Sole Dispositive Power, Warrants, +2 more

6 terms

beneficial ownership regulatory

"the reporting person's beneficial ownership has been limited to 193,050 shares in the aggregate"

Beneficial ownership means the person or entity that actually enjoys the benefits of owning shares or other assets — such as receiving dividends, voting rights, or price gains — even if the legal title is held in another name. For investors it matters because knowing who truly controls and profits from a company reveals who can influence decisions, exposes potential conflicts of interest or hidden concentration of power, and affects transparency and risk in the stock.

Sole Voting Power regulatory

"5 | Sole Voting Power 193,050.00 6 | Shared Voting Power 0.00"

Sole voting power is the exclusive right to cast votes attached to a shareholder’s stock without needing approval from anyone else. Like holding the only remote control for a TV, it lets that holder decide corporate matters such as board members, mergers, and policy changes, making it important to investors because it concentrates control and can strongly influence a company’s strategy and the value of its shares.

Sole Dispositive Power regulatory

"7 | Sole Dispositive Power 193,050.00 8 | Shared Dispositive Power 0.00"

Sole dispositive power is the exclusive legal authority to decide what happens to a security — for example, whether to sell, transfer, or retain shares — without needing anyone else’s permission. Investors care because it signals who truly controls the economic outcome of an investment: like holding the only key to a safe, the holder can realize gains or losses and may trigger regulatory reporting, insider rules, or influence over corporate ownership.

Warrants financial

"193,050 warrants to purchase shares of common stock (the "Warrants")"

Warrants are special documents that give you the right to buy a company's stock at a set price before a certain date. They are often used as a way for companies to attract investors or raise money, and their value can increase if the company's stock price goes up.

conversion limitations financial

"due to the conversion limitations on the Warrants, the reporting person's beneficial ownership has been limited"

beneficially own greater than 4.99% regulatory

"limiting the holder's ability to convert the Warrants if such conversion would cause the holder to beneficially own greater than 4.99%"

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

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Available on EDGAR 08/05/2026 - 05:15 PM Accepted by SEC EDGAR 08/05/2026 - 05:14 PM Learn about SEC filing dates

FAQ

What ownership stake in Nuwellis, Inc. (NUWE) is reported in this Schedule 13G?

The reporting persons disclose beneficial ownership of 193,050 shares of Nuwellis common stock, representing 6.2% of the outstanding class. This includes shares and warrants, but is capped by the warrant conversion limits.

Who are the reporting persons in the Nuwellis, Inc. (NUWE) Schedule 13G filing?

The filing is made by Lind Global Fund III LP, Lind Global Partners III LLC, and Jeff Easton. Lind Global Partners III LLC is the general partner of the fund, and Jeff Easton is the managing member of Lind Global Partners III LLC.

How many Nuwellis (NUWE) warrants are held by the reporting persons?

The ownership consists of 193,050 warrants to purchase Nuwellis common stock, in addition to 193,050 shares. However, warrant conversion is restricted so that total beneficial ownership does not exceed the disclosed aggregate share amount.

What is the beneficial ownership limitation on the Nuwellis (NUWE) warrants?

The warrants include a provision preventing conversion if it would cause the holder to beneficially own more than 4.99% of Nuwellis. Because of this, the reporting persons’ beneficial ownership is effectively limited to 193,050 shares in total.

Do the reporting persons have sole or shared voting power over Nuwellis (NUWE) shares?

Each reporting person reports sole voting power and sole dispositive power over 193,050 shares of Nuwellis common stock. They report zero shared voting or dispositive power over any shares.

How is control over the Nuwellis (NUWE) shares structured among the Lind entities and Jeff Easton?

Lind Global Partners III LLC, as general partner of Lind Global Fund III LP, may be deemed to have sole voting and dispositive power. Jeff Easton, as managing member of Lind Global Partners III LLC, may be deemed to have sole voting and dispositive power over shares held by the fund.

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13G

UNDER THE SECURITIES EXCHANGE ACT OF 1934

Nuwellis, Inc.

(Name of Issuer)

Common Stock, par value $0.0001 per share

(Title of Class of Securities)

67113Y801

(CUSIP Number)

08/03/2026

(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

Rule 13d-1(b)

Rule 13d-1(c)

Rule 13d-1(d)

schemaVersion:

SCHEDULE 13G

CUSIP Number(s): 67113Y801

1

Names of Reporting Persons

Lind Global Fund III LP

2

Check the appropriate box if a member of a Group (see instructions)

(a)
(b)

3

Sec Use Only

4

Citizenship or Place of Organization

DELAWARE

Number of Shares Beneficially Owned by Each Reporting Person With:

5	Sole Voting Power 193,050.00
6	Shared Voting Power 0.00
7	Sole Dispositive Power 193,050.00
8	Shared Dispositive Power 0.00

9

Aggregate Amount Beneficially Owned by Each Reporting Person

193,050.00

10

Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)

11

Percent of class represented by amount in row (9)

6.2 %

12

Type of Reporting Person (See Instructions)

PN

Comment for Type of Reporting Person: (1) The reporting person's ownership consists of (i) 193,050 shares of common stock and (ii) 193,050 warrants to purchase shares of common stock (the "Warrants"); however, due to the conversion limitations on the Warrants, the reporting person's beneficial ownership has been limited to 193,050 shares in the aggregate. (2) The Warrants include a provision limiting the holder's ability to convert the Warrants if such conversion would cause the holder to beneficially own greater than 4.99% of the Company

SCHEDULE 13G

CUSIP Number(s): 67113Y801

1

Names of Reporting Persons

Lind Global Partners III LLC

2

Check the appropriate box if a member of a Group (see instructions)

(a)
(b)

3

Sec Use Only

4

Citizenship or Place of Organization

DELAWARE

Number of Shares Beneficially Owned by Each Reporting Person With:

5	Sole Voting Power 193,050.00
6	Shared Voting Power 0.00
7	Sole Dispositive Power 193,050.00
8	Shared Dispositive Power 0.00

9

Aggregate Amount Beneficially Owned by Each Reporting Person

193,050.00

10

Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)

11

Percent of class represented by amount in row (9)

6.2 %

12

Type of Reporting Person (See Instructions)

OO

Comment for Type of Reporting Person: (1) The reporting person's ownership consists of (i) 193,050 shares of common stock and (ii) 193,050 Warrants; however, due to the conversion limitations on the Warrants, the reporting person's beneficial ownership has been limited to 193,050 shares in the aggregate. (2) The Warrants include a provision limiting the holder's ability to convert the Warrants if such conversion would cause the holder to beneficially own greater than 4.99% of the Company.

SCHEDULE 13G

CUSIP Number(s): 67113Y801

1

Names of Reporting Persons

EASTON JEFF

2

Check the appropriate box if a member of a Group (see instructions)

(a)
(b)

3

Sec Use Only

4

Citizenship or Place of Organization

UNITED STATES

Number of Shares Beneficially Owned by Each Reporting Person With:

5	Sole Voting Power 193,050.00
6	Shared Voting Power 0.00
7	Sole Dispositive Power 193,050.00
8	Shared Dispositive Power 0.00

9

Aggregate Amount Beneficially Owned by Each Reporting Person

193,050.00

10

Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)

11

Percent of class represented by amount in row (9)

6.2 %

12

Type of Reporting Person (See Instructions)

IN

Comment for Type of Reporting Person: (1) The reporting person's ownership consists of (i) 193,050 shares of common stock and (ii) 193,050 Warrants; however, due to the conversion limitations on the Warrants, the reporting person's beneficial ownership has been limited to 193,050 shares in the aggregate. (2) The Warrants include a provision limiting the holder's ability to convert the Warrants if such conversion would cause the holder to beneficially own greater than 4.99% of the Company.

SCHEDULE 13G

Item 1.
(a)	Name of issuer: Nuwellis, Inc.
(b)	Address of issuer's principal executive offices: 12988 Valley View Road, Eden Prairie, Minnesota, 55344
Item 2.
(a)	Name of person filing: This statement is filed by the following entities and individuals (collectively, referred to as the "Reporting Persons"): Lind Global Fund III LP, a Delaware limited partnership; Lind Global Partners III LLC, a Delaware limited liability company; and Jeff Easton, an individual and a citizen of the United States of America. Lind Global Partners III LLC, the general partner of Lind Global Fund III LP, may be deemed to have sole voting and dispositive power with respect to the shares held by Lind Global Fund III LP. Jeff Easton, the managing member of Lind Global Partners III LLC, may be deemed to have sole voting and dispositive power with respect to the shares held by Lind Global Fund III LP.
(b)	Address or principal business office or, if none, residence: The address of the principal business office for each of the Reporting Persons is: 444 Madison Ave, Floor 41 New York, NY 10022
(c)	Citizenship: See Row 4 of cover page for each Reporting Person.
(d)	Title of class of securities: Common Stock, par value $0.0001 per share
(e)	CUSIP Number(s): 67113Y801
Item 3.	If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
(a)	Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
(b)	Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
(c)	Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
(d)	Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
(e)	An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
(f)	An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
(g)	A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
(h)	A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
(i)	A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
(j)	A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J). If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution:
(k)	Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K).
Item 4.	Ownership
(a)	Amount beneficially owned: See Row 9 of cover page for each Reporting Person.
(b)	Percent of class: See Row 11 of cover page for each Reporting Person.
(c)	Number of shares as to which the person has:
	(i) Sole power to vote or to direct the vote: See Row 5 of cover page for each Reporting Person.
	(ii) Shared power to vote or to direct the vote: See Row 6 of cover page for each Reporting Person.
	(iii) Sole power to dispose or to direct the disposition of: See Row 7 of cover page for each Reporting Person.
	(iv) Shared power to dispose or to direct the disposition of: See Row 8 of cover page for each Reporting Person.
Item 5.	Ownership of 5 Percent or Less of a Class.
	Not Applicable
Item 6.	Ownership of more than 5 Percent on Behalf of Another Person.
	Not Applicable
Item 7.	Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.
	Not Applicable
Item 8.	Identification and Classification of Members of the Group.
	Not Applicable
Item 9.	Notice of Dissolution of Group.
	Not Applicable

Item 10.

Certifications:

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under § 240.14a-11.

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Lind Global Fund III LP

Signature:	Lind Global Partners III LLC, its General Partner
Name/Title:	Jeff Easton, Managing Member
Date:	08/05/2026

Lind Global Partners III LLC

Signature:	Lind Global Partners III LLC
Name/Title:	Jeff Easton, Managing Member
Date:	08/05/2026

EASTON JEFF

Signature:	Jeff Easton
Name/Title:	Jeff Easton, Managing Member
Date:	08/05/2026

Exhibit Information

Exhibit 99.1 - Joint Filing Agreement