Nuwellis, Inc. — Earnings Release 2016

May 3, 2016

8-K 1 a16-10134_18k.htm 8-K

*UNITED STATES*

*SECURITIES AND EXCHANGE COMMISSION*

*Washington, D.C. 20549*

*FORM 8-K*

*Current Report Pursuant to Section 13 or 15(d) of*

*the Securities Exchange Act of 1934*

Date of Report (Date of earliest event reported): May 3, 2016

*SUNSHINE HEART, INC.*

(Exact name of registrant as specified in its charter)

Delaware	001-35312	68-0533453
(State or other jurisdiction of incorporation)	(Commission File Number)	(IRS Employer Identification No.)

*12988 Valley View Road*

*Eden Prairie, Minnesota 55344*

(Address of principal executive offices) (Zip Code)

*(952) 345-4200*

(Registrant’s telephone number, including area code)

*Not Applicable*

(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

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*Item 2.02 Results of Operations and Financial Condition.*

On May 3, 2016, Sunshine Heart, Inc. (the *“Company”*** ) issued a press release reporting its financial results for the first quarter ended March 31, 2016. A copy of the press release is attached hereto as Exhibit 99.1 and is incorporated herein by reference.

In accordance with General Instruction B.2 of Form 8-K, the information included in this Current Report on Form 8-K (including Exhibit 99.1) is furnished pursuant to Items 2.02 and 7.01 and shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that section. The information in this Item 7.01 of this Current Report on Form 8-K will not be deemed an admission as to the materiality of any information that is required to be disclosed solely by Regulation FD.

*Item 9.01 Financial Statements and Exhibits.*

The attached exhibit shall be considered filed for purposes of Section 18 of the Exchange Act, and shall be deemed incorporated by reference in the Registration Statements.

*(d)*

Exhibit No.	Description
99.1	Press Release, dated May 3, 2016, reporting the Company’s financial results for the first quarter ended March 31, 2016.

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*SIGNATURES*

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

Date: May 3, 2016
By:	/S/ CLAUDIA DRAYTON
Name:	Claudia Drayton
Title:	Chief Financial Officer

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*EXHIBIT INDEX*

Exhibit No.	Description
99.1	Press Release, dated May 3, 2016, reporting the Company’s financial results for the first quarter ended March 31, 2016.

4

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