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Nuwellis, Inc. — Director's Dealing 2013
Aug 1, 2013
35477_dirs_2013-08-01_63215531-a7f4-4c93-991a-034ff818df03.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Sunshine Heart, Inc. (SSH)
CIK: 0001506492
Period of Report: 2013-07-30
Reporting Person: Brooke Geoffrey (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-07-30 | Common Stock | M | 3666 | — | Acquired | 3666 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-07-30 | Non-Qualified Stock Option (right to buy) | $7.5 | A | 2527 | Acquired | 2023-07-30 | Common Stock (2527) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 379596 | Indirect |
| Common Stock | 815165 | Indirect |
Footnotes
F1: (1) Represents securities held directly by GBS Bioventures II A/C. The reporting person is a managing director of GBS Venture Partners Pty Ltd which manages GBS Bioventures II A/C. The reporting person shares voting and investment power with another partner and may be deemed to be an indirect beneficial owner of the reported securities. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest. This report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
F2: (2) Represents securities held directly by GBS Bioventures III A/C. The reporting person is a managing director of GBS Venture Partners Pty Ltd which manages GBS Bioventures III A/C. The reporting person shares voting and investment power with another partner and may be deemed to be an indirect beneficial owner of the reported securities. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest. This report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
F3: (3) On July 30, 2013, the reporting person was granted 3,666 restricted stock units, fully vested on the date of grant. Restricted stock units convert into common stock on a one-for-one basis.
F4: (4) On July 30, 2013, the reporting person was granted 2,527 non-qualified stock options, fully vested on the date of grant.