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EX-99.1 - EX-99.1 - Nuwellis, Inc.a17-4167_1ex99d1.htm

 

 

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): February 9, 2017

 

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))

 

 

 



 

Item 8.01.  Other Events.

 

Sunshine Heart, Inc. (the “Company”) issued a press release on February 10, 2017 to announce its receipt of formal notice from The NASDAQ Stock Market LLC on February 9, 2017 that indicated that the Company has evidenced compliance with the minimum $1.00 bid price requirement, as set forth in Nasdaq Listing Rule 5550(a)(2). The Company remains subject to an extension through March 20, 2017 to evidence compliance with the $2.5 million stockholders’ equity requirement for continued listing on The Nasdaq Capital Market.  A copy of the press release is filed herewith as Exhibit 99.1 hereto and incorporated herein by reference.

 

Item 9.01   Financial Statements and Exhibits.

 

(d)  Exhibits.

 

Exhibit No.

 

Description

 

 

 

99.1

 

Press release dated February 10, 2017.

 

2



 

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.

 

Dated: February 10, 2017

SUNSHINE HEART, INC.

 

 

 

 

 

 

By:

/S/ CLAUDIA DRAYTON

 

 

Name:

Claudia Drayton

 

 

Title:

Chief Financial Officer and Secretary

 

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EXHIBIT INDEX

 

Exhibit
No.

 

Description

99.1

 

Press release dated February 10, 2017.

 

4