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Form D · on the record

Nuwellis — $3.85M Form D filing, November 2024

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Nuwellis, Inc. filed a Form D with the Securities and Exchange Commission on 2024-11-20.

Nuwellis, Inc. filed a Form D notice of an exempt securities offering with the SEC on November 20, 2024. The filing reports $3.85M sold. Its industry group is Other Health Care. It names John Erb (Director), Nestor Jaramillo, Jr. (Executive Officer, Director), Maria Rosa Costanzo, M.D. (Director) (SEC Form D, November 20, 2024).

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Ladenburg Thalmann & Co. Inc., the sales agent on this raise, sold 2 other raises we hold ↓

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Nuwellis, Inc.

New Form D on file · 2024-11-20 · the record

$3.85M
raise on the record
D
filing
9
investors in
MINNESOTA
based
Open the record →

What the record says

FilingForm D
Filed2024-11-20
Industry groupOther Health Care
Entity typeCorporation
Incorporated inDELAWARE
BasedEDEN PRAIRIE, MINNESOTA
CIK1506492
Accession0001506492-24-000004

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More on the people and the money behind Nuwellis, Inc., from the filings we hold.

Raised through the same sales agent

Ladenburg Thalmann & Co. Inc. received sales compensation on this raise and on 2 other raises we hold, nearest in date first:

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What the filing shows about Nuwellis, Inc.

  • 9 investors had already put money in when it filed.
  • The filing names 9 people as officers, directors or promoters.

Only in the Full Report: Who Runs It, And How To Reach Them · Warning Bells · Who Pays Them, And Who They Are Up Against.

Example from a real report (our sample on Target): “In March 2026, Target announced a planned incremental $1 billion operating investment” Source: Target Corporation (press release)

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Who the filing names, and in what role

The filing gives Nuwellis, Inc.'s address as 12988 Valley View Road, Eden Prairie, MN 55344.

What the filing says

  • Offered: $3,848,286. Sold: $3,848,286. Left to sell: nothing, all of it is sold. (filing)
  • Investors: 9 had already invested. (filing)
  • Date of first sale: November 6, 2024. (filing)
  • Types of securities: Options, warrants or other rights to acquire another security; Securities to be acquired on exercise of an option, warrant or other right. (filing)
  • Item 16: the filing reports that none of the proceeds goes to executive officers, directors or promoters. (filing)
  • On the amounts offered and sold: the filing adds “In connection with a warrant inducement offering, warrants to purchase up to 3,720,010 shares of common stock were issued in a private placement. The offering amount excludes proceeds of up to $7,300,658 from the exercise of the warrants.” (filing)
  • On sales commissions and finders' fees: the filing adds “A fee equal to 8% of the gross proceeds received from the Inducement Offer will be paid to the placement agent, along with legal fees and expenses, and warrants to purchase up to 54,976 shares of common stock at an exercise price of $3.465.” (filing)

This is the company's own disclosure. A payment disclosed on a Form D is a disclosed use of proceeds, not a finding of wrongdoing.

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Is Nuwellis, Inc. a real, registered company?

Nuwellis, Inc. is a registered filer with the SEC (CIK 1506492) and has filed since 2023-06-26. 4 filings are on record, the latest on 2024-11-20.

A filing shows the company exists and what it reports about itself. It is not an audit or a rating.

Who runs Nuwellis, Inc.?

Nuwellis, Inc.'s Form D of 2024-11-20 names John Erb, Nestor Jaramillo, Jr., Maria Rosa Costanzo, M.D. and 6 more as its officers, directors or promoters.

How much has Nuwellis, Inc. raised?

Its new offerings report $3.85M sold across 1 offering, as its own filings state.

Filing history · 4 filings on this registrant
Form D · 2023-06-26Form D · 2024-08-02Form D · 2024-09-04Form D · 2024-11-20 · $3.85M · this page 2023-06-26 2024-11-20

Each marker is one filing. The larger marker is the filing this page is about.

Other Health Care · by week

Trailing twelve months. 863 filings in Other Health Care, totalled by week.

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What the filing shows about Nuwellis, Inc.

  • 9 investors had already put money in when it filed.
  • The filing names 9 people as officers, directors or promoters.

Only in the Full Report: Who Runs It, And How To Reach Them · Warning Bells · Who Pays Them, And Who They Are Up Against.

Example from a real report (our sample on Target): “In March 2026, Target announced a planned incremental $1 billion operating investment” Source: Target Corporation (press release)

A Full Report on Nuwellis, Inc.: verified, sourced, every claim cited, ready in a few minutes. See pricing.

What the Full Report on Nuwellis, Inc. covers

  1. The Short Answer

  2. Which Company This Is

  3. What They Do, And How The Money Works

  4. Who Runs It, And How To Reach Them

  5. The Money: Funding, Valuation, Runway

  6. Who Pays Them, And Who They Are Up Against

  7. Warning Bells

  8. Sources

    1 cited source found

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Nuwellis, Inc.: Raised $3.85M, Form D filed 2024-11-20
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Permanent URL: https://mentionfox.com/funding/nuwellis-inc-form-d-24000001
Last updated 2026-11-08
Primary record: SEC filing 1 · SEC filing 2
Nuwellis raised $3.85M — SEC Form D filing, November 2024. MentionFox, 2026-11-08. https://mentionfox.com/funding/nuwellis-inc-form-d-24000001