0001140361-26-016755.txt : 20260424 0001140361-26-016755.hdr.sgml : 20260424 20260424170023 ACCESSION NUMBER: 0001140361-26-016755 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 11 CONFORMED PERIOD OF REPORT: 20260424 ITEM INFORMATION: Other Events FILED AS OF DATE: 20260424 DATE AS OF CHANGE: 20260424 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Nuwellis, Inc. CENTRAL INDEX KEY: 0001506492 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] ORGANIZATION NAME: 08 Industrial Applications and Services EIN: 680533453 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-35312 FILM NUMBER: 26895474 BUSINESS ADDRESS: STREET 1: 12988 VALLEY VIEW ROAD CITY: EDEN PRAIRIE STATE: MN ZIP: 55344 BUSINESS PHONE: 952-345-4200 MAIL ADDRESS: STREET 1: 12988 VALLEY VIEW ROAD CITY: EDEN PRAIRIE STATE: MN ZIP: 55344 FORMER COMPANY: FORMER CONFORMED NAME: CHF Solutions, Inc. DATE OF NAME CHANGE: 20170523 FORMER COMPANY: FORMER CONFORMED NAME: Sunshine Heart, Inc. DATE OF NAME CHANGE: 20101124 8-K 1 ef20071428_8k.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): April 24, 2026

Nuwellis, Inc.
(Exact Name of Registrant as Specified in its Charter)

Delaware
 001-35312
No. 68-0533453
(State or Other Jurisdiction of Incorporation or Organization)
(Commission File Number)
(I.R.S. Employer Identification No.)

12988 Valley View Road, Eden Prairie, MN
  
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:

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

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

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

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

Securities registered pursuant to Section 12(b) of the Act:
Title of each class
Trading Symbol(s)
Name of each exchange on which
registered
Common Stock, par value $0.0001 per share
NUWE
Nasdaq Capital Market

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

Item 8.01
Other Events.

E.F. Hutton Suit

As previously announced on February 26, 2026, E.F. Hutton & Co. (“Hutton”) filed a complaint against Nuwellis, Inc. (the “Company”) with the Supreme Court of the State of New York. The complaint alleged, among other things, that the Company breached its engagement letter with Hutton to act as its exclusive placement agent for one or more of the Company’s registered securities offerings. The complaint sought compensatory damages, punitive damages, interest, costs and attorneys’ fees.

On April 24, 2026, the Company entered into a Settlement Agreement and Release (the “Settlement Agreement”) with Hutton, whereby the Company agreed to pay $204,000 (the “Settlement Amount”) to Hutton within five days of execution of the Settlement Agreement.  The Settlement Agreement contained no admission of liability, included a mutual release of all claims, and an agreement by Hutton to file a Stipulation of Dismissal with Prejudice within two days of receiving the Settlement Amount.

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: April 24, 2026
NUWELLIS, INC.
   
 
By:
/s/ John L. Erb
  
 
Name:
 John L. Erb
 
Title:
President and Chief Executive Officer


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