Nuwellis, Inc. (NUWE) shareholders
NUWENasdaqElectromedical & Electrotherapeutic ApparatusFiscal year ends December 31
Financials through Q3 FY2026, quarter ended Sep 30, 2026Last filing: 10-Q on Nov 12, 2026Score 10/3082% below fair value
$4.90−0.13 (-2.58%)
Close on Nov 13, 2026Market cap $2.65MP/E –Yield –
Ownership
Institutional holdings as of Jun 30, 2026, from 13F filings
Held by institutions
0.6%
0M of 4M shares
Institutional holders
5
2 new, 5 sold out
Net institutional buying
0M
In Q2 2026
Insider trades, 12 months
0 buys · 0 sales
Open-market trades only
Shares held by institutions
Holders of more than 5%
Latest Schedule 13D (active) or 13G (passive) filed by each holder
| Holder | Shares | % of class | Filing | As of |
|---|---|---|---|---|
| Erb John L | 1,666,767 | 7.30% | 13D (active) | Jun 9, 2025 |
| Bigger Michael | 478,000 | 9.99% | 13G (passive) | Jun 9, 2025 |
| Easton Jeff Joint filing with Lind Global Fund III LP (6.20%), Lind Global Partners III LLC (6.20%) | 193,050 | 6.20% | 13G (passive) | Aug 3, 2026 |
| Sabby Volatility Warrant Master Fund, Ltd. Joint filing with Sabby Management, LLC (5.40%), Hal Mintz (5.40%) | 89,685 | 5.40% | 13G (passive) | Dec 31, 2025 |
Top institutional holders
13F holdings as of Jun 30, 2026
| Holder | Shares | % of NUWE | Value | Change | % of portfolio |
|---|---|---|---|---|---|
| Sabby Management, LLC | 16,372 | 0.45% | $49.94K | New | 0.05% |
| UBS Group AG | 4,415 | 0.12% | $13.47K | +4,414 | 0.00% |
| Tower Research Capital LLC (TRC) | 138 | 0.00% | $421 | −10 | 0.00% |
| Morgan Stanley | 35 | 0.00% | $107 | New | 0.00% |
| SBI Securities Co., Ltd. | 4 | 0.00% | $12 | +2 | 0.00% |
Institutional buying and selling by quarter
Positions opened, added to, reduced and closed by 13F filers
| Quarter | Holders | Shares held | % of shares | New / added | Reduced / closed | Shares bought | Shares sold |
|---|---|---|---|---|---|---|---|
| Q2 2026 | 5 | 0M | 0.6% | 2 / 2 | 1 / 5 | 0M | 0M |
| Q1 2026 | 8 | 0M | 0.2% | 2 / 3 | 1 / 4 | 0M | 0M |
| Q4 2025 | 10 | 0M | 0.1% | 3 / 2 | 3 / 0 | 0M | 0M |
| Q3 2025 | 7 | 0M | 0.1% | 2 / 3 | 0 / 4 | 0M | 0M |
| Q2 2025 | 9 | 0M | 0.0% | 2 / 4 | 1 / 4 | 0M | 0M |
| Q1 2025 | 11 | 0M | 0.0% | 4 / 4 | 1 / 0 | 0M | 0M |
| Q4 2024 | 7 | 0M | 0.0% | 4 / 0 | 2 / 3 | 0M | 0M |
| Q3 2024 | 6 | 0M | 0.0% | 3 / 1 | 0 / 3 | 0M | 0M |
| Q2 2024 | 6 | 0M | 0.0% | 6 / 0 | 0 / 0 | 0M | 0M |
Officers, directors and major owners
People who filed Forms 3, 4 or 5 in the last two years
| Name | Role | Shares owned | % of shares | Latest filing |
|---|---|---|---|---|
| Michael Kendrick McCormick | President and CEO, Director | – | – | Jul 1, 2026 |
| John L. Erb | CEO and President, Director, 10% owner | 1,100,022 | 30.16% | Jul 1, 2025 |
| Carisa Schultz | Chief Financial Officer | – | – | Feb 12, 2026 |
| Martin J. Emerson | Director | – | – | Apr 29, 2026 |
| Gregory D. Waller | Director | 2 | 0.00% | Apr 29, 2026 |
| David McDonald | Director | – | – | Apr 29, 2026 |
| Archelle Georgiou Feldshon | Director | – | – | Apr 29, 2026 |
| Katharyn Field | Director | – | – | Feb 11, 2026 |
| Mika Grasso | Director | – | – | Feb 11, 2026 |
Insider trades
Common stock transactions reported on Form 4, newest first
| Insider | Date | Transaction | Shares | Price | Value | Shares after |
|---|---|---|---|---|---|---|
| John L. Erb CEO and President, Director, 10% owner | Jun 10, 2025 | Conversion | +7,522 | $0.06 | $451 | 1,100,022 |
| John L. Erb CEO and President, Director, 10% owner | Jun 9, 2025 | Conversion | +1,092,500 | $0.06 | $65.55K | 1,092,500 |
| Nestor Jaramillo Jr. President and CEO, Director | Mar 15, 2023 | Buy | +4,098 | $4.79 | $19.63K | 4,098 |
| John L. Erb CEO and President, Director | Mar 12, 2019 | Buy | +9,523 | $5.25 | $50.00K | 11,615 |
| Gregory D. Waller Director | Aug 10, 2018 | Sale | −72 | $1.03 | $74 | 2 |
| John L. Erb CEO and President, Director | Jul 3, 2018 | Buy | +23,584 | $2.12 | $50.00K | 29,355 |
| Ki Yong Choi 10% owner | Oct 12, 2017 | Buy | +30,141 | $0.48 | $14.47K | 1,793,109 |
| Ki Yong Choi 10% owner | Oct 11, 2017 | Buy | +31,504 | $0.56 | $17.64K | 1,762,968 |
| Ki Yong Choi 10% owner | Sep 13, 2017 | Buy | +78,211 | $0.64 | $50.06K | 1,731,464 |
| Ki Yong Choi 10% owner | Aug 10, 2017 | Buy | +13,253 | $0.64 | $8.48K | 1,653,253 |
| Ki Yong Choi 10% owner | Aug 8, 2017 | Buy | +180,000 | $0.78 | $140.40K | 1,640,000 |
| John L. Erb CEO and President, Director | Apr 19, 2017 | Buy | +100,000 | – | – | 115,468 |
| Matthew E. Likens Director | Feb 2, 2017 | Award | +1,437 | – | – | 1,437 |
| Steven Frank Brandt Director | Feb 2, 2017 | Award | +1,437 | – | – | 1,437 |
| Molly Wade Vice President | Jan 15, 2017 | Tax withholding | −41 | $8.19 | $336 | 909 |
| Claudia Drayton Chief Financial Officer | Jan 15, 2017 | Tax withholding | −54 | $8.19 | $442 | 762 |
| Claudia Drayton Chief Financial Officer | Dec 15, 2016 | Tax withholding | −1,629 | $0.47 | $766 | 24,481 |
| Molly Wade Vice President | Dec 15, 2016 | Tax withholding | −1,256 | $0.47 | $590 | 28,500 |
| John L. Erb CEO & President, Director | Nov 28, 2016 | Buy | +80,000 | $0.22 | $17.60K | 464,128 |
| Claudia Drayton Chief Financial Officer | Nov 21, 2016 | Sale | −20 | $5.27 | $105 | 740 |
| Claudia Drayton Chief Financial Officer | Nov 15, 2016 | Tax withholding | −1,629 | $0.18 | $293 | 26,110 |
| Molly Wade Vice President | Nov 15, 2016 | Tax withholding | −1,256 | $0.18 | $226 | 29,756 |
| Molly Wade Vice President | Oct 15, 2016 | Tax withholding | −1,256 | $0.37 | $465 | 31,012 |
| Claudia Drayton Chief Financial Officer | Oct 15, 2016 | Tax withholding | −1,629 | $0.37 | $603 | 27,739 |
| Claudia Drayton Chief Financial Officer | Sep 15, 2016 | Tax withholding | −1,629 | $0.79 | $1.29K | 29,368 |
| Molly Wade Vice President | Sep 15, 2016 | Tax withholding | −1,256 | $0.79 | $992 | 32,268 |
| Molly Wade Vice President | Aug 15, 2016 | Tax withholding | −1,256 | $0.80 | $1.00K | 33,524 |
| Claudia Drayton Chief Financial Officer | Aug 15, 2016 | Tax withholding | −1,629 | $0.80 | $1.30K | 30,997 |
| Claudia Drayton Chief Financial Officer | Jul 15, 2016 | Tax withholding | −1,629 | $0.78 | $1.27K | 32,626 |
| Molly Wade Vice President | Jul 15, 2016 | Tax withholding | −1,256 | $0.78 | $980 | 34,780 |
| Molly Wade Vice President | Jun 15, 2016 | Tax withholding | −1,256 | $0.62 | $779 | 36,036 |
| Claudia Drayton Chief Financial Officer | Jun 15, 2016 | Tax withholding | −1,629 | $0.62 | $1.01K | 34,255 |
| Gregory D. Waller Director | May 26, 2016 | Award | +32,864 | – | – | 46,039 |
| Warren S. Watson Director | May 26, 2016 | Award | +32,864 | – | – | 42,492 |
| Paul Buckman Director | May 26, 2016 | Award | +32,864 | – | – | 56,876 |
| Jon W. Salveson Director | May 26, 2016 | Award | +32,864 | – | – | 42,492 |
| Claudia Drayton Chief Financial Officer | May 15, 2016 | Tax withholding | −1,629 | $0.63 | $1.03K | 35,884 |
| Molly Wade Vice President | May 15, 2016 | Tax withholding | −1,256 | $0.63 | $791 | 37,292 |
| Claudia Drayton Chief Financial Officer | Apr 15, 2016 | Tax withholding | −1,629 | $0.74 | $1.21K | 37,513 |
| Molly Wade Vice President | Apr 15, 2016 | Tax withholding | −1,256 | $0.74 | $929 | 38,548 |
| John L. Erb CEO and President, Director | Mar 16, 2016 | Buy | +2,500 | $0.91 | $2.28K | 384,128 |
| John L. Erb CEO and President, Director | Mar 16, 2016 | Award | +356,000 | – | – | 381,628 |
| Claudia Drayton Chief Financial Officer | Mar 15, 2016 | Tax withholding | −1,629 | $0.83 | $1.35K | 39,142 |
| Molly Wade Vice President | Mar 15, 2016 | Tax withholding | −1,256 | $0.83 | $1.04K | 39,804 |
| John L. Erb CEO and President, Director | Mar 15, 2016 | Buy | +8,000 | $0.95 | $7.60K | 25,628 |
| John L. Erb CEO and President, Director | Mar 14, 2016 | Buy | +8,000 | $0.86 | $6.88K | 17,628 |
| Molly Wade Vice President | Feb 15, 2016 | Tax withholding | −1,256 | $0.96 | $1.21K | 41,060 |
| Claudia Drayton Chief Financial Officer | Feb 15, 2016 | Tax withholding | −1,629 | $0.96 | $1.56K | 40,771 |
| Claudia Drayton Chief Financial Officer | Jan 15, 2016 | Award | +38,400 | – | – | 42,400 |
| Molly Wade Vice President | Jan 15, 2016 | Award | +29,600 | – | – | 42,316 |
| Claudia Drayton Chief Financial Officer | Nov 23, 2015 | Sale | −1 | $52.80 | $53 | 760 |
| Brian Brown SVP, Technology & Operations | Aug 13, 2015 | Buy | +4,000 | $2.80 | $11.20K | 20,000 |
| Paul Buckman Director | Aug 11, 2015 | Buy | +10,000 | $2.55 | $25.50K | 24,012 |
| Claudia Drayton Chief Financial Officer | Aug 11, 2015 | Buy | +3,500 | $2.58 | $9.03K | 4,000 |
| Claudia Drayton Chief Financial Officer | Aug 11, 2015 | Buy | +500 | $2.55 | $1.28K | 500 |
| Debra Kridner Exec VP, Regulatory Affairs | Aug 11, 2015 | Buy | +4,000 | $2.89 | $11.56K | 29,500 |
| Debra Kridner Exec VP, Regulatory Affairs | Aug 1, 2015 | Tax withholding | −557 | $3.11 | $1.73K | 25,500 |
| David A. Rosa Chief Executive Officer, Director | Aug 1, 2015 | Tax withholding | −5,226 | $3.11 | $16.25K | 119,587 |
| Molly Wade Vice President | Aug 1, 2015 | Tax withholding | −607 | $3.11 | $1.89K | 12,716 |
| Debra Kridner Exec VP, Regulatory Affairs | Jul 1, 2015 | Tax withholding | −557 | $3.29 | $1.83K | 26,057 |
Awards, option exercises, tax withholding and gifts are shown alongside open-market buys and sales. Each name links to the filing on SEC EDGAR.
Short interest
Shares sold short and not yet bought back, as of Oct 30, 2026 (FINRA, reported twice a month)
Short % of shares outstanding
36.16%
0M shares short
Days to cover
1.0
At 4M shares a day
Change since last report
+118.9%
From 0M shares
Short volume, 20 days
59.8%
Of volume reported to FINRA
Shares sold short, last 12 months
Short sale volume counts trades marked short on any given day, including market-maker hedging, so it runs far higher than the share of Nuwellis's stock actually held short. Settlement fails (shares not delivered on time) peaked at 160,863 shares on Aug 27, 2026 over the last 90 days.
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