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Nuwellis, Inc. — Director's Dealing 2012
May 2, 2012
35477_dirs_2012-05-02_3d62be52-b3b2-439f-9c53-9979a8b87759.zip
Director's Dealing
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SEC Form 3/A — Form 3/A
Issuer: Sunshine Heart, Inc. (SSH)
CIK: 0001506492
Period of Report: 2012-02-14
Reporting Person: O'Dwyer Donal (Director)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 686 | Direct |
| Common Stock | 10370 | Indirect |
| Common Stock | 38791 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (right to buy) | $101.74 | 2014-07-05 | Common Stock (485) | Direct | |
| Employee Stock Option (right to buy) | $7.1218 | 2021-08-17 | Common Stock (11200) | Direct | |
| Common Stock Warrant (right to buy) | $6.5114 | 2014-12-08 | Common Stock (9150) | Direct |
Footnotes
F1: This Form 3 amends the number of securities directly beneficially owned by the reporting person.
F2: Dundrum Investments P/I is the trustee and the reporting person's spouse has the authority to change the trustee.
F3: The reporting person and his spouse jointly have the power to make investment and voting decisions.
F4: Fully vested.
F5: This Form 3 amends the vesting schedule of this option. The option vests as to 1/48 of the shares each month with (i) 5 months of shares vesting on August 18, 2011 and (ii) the remaining shares vesting equally for 43 consecutive months commencing September 17, 2011.
F6: Immediately exercisable.