Chief Operating Officer Stegagno Peter was granted 2,026 shares, increasing direct ownership by 33,767% to 2,032 units (SEC Form 4)
$SNWV
Medical/Dental Instruments
Health Care
| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
| Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
SANUWAVE Health, Inc. [ SNWV ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 12/14/2017 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock | 08/29/2019 | A | 885 | A | (1) | 891 | D | |||
| Common Stock | 08/29/2019 | A | 1,141 | A | (2) | 2,032 | D | |||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Class N Warrant (right to buy) | $0.0003 | 12/21/2017 | A | 885 | 12/21/2017 | 03/17/2019 | Common Stock | 885 | $0.0003 | 885 | D | ||||
| Class N Warrant (right to buy) | $0.0003 | 01/23/2019 | D | 885(3) | 12/21/2017 | 03/17/2019 | Common Stock | 885 | $0 | 0 | D | ||||
| Class N Warrant (right to buy) | $0.0003 | 01/23/2019 | A | 885(3) | 01/23/2019 | 05/01/2019 | Common Stock | 885 | $0 | 885 | D | ||||
| Class N Warrant (right to buy) | $0.0003 | 05/01/2019 | D | 885(4) | 01/23/2019 | 05/01/2019 | Common Stock | 885 | $0 | 0 | D | ||||
| Class N Warrant (right to buy) | $0.0003 | 05/01/2019 | A | 885(4) | 05/01/2019 | 06/28/2019 | Common Stock | 885 | $0 | 885 | D | ||||
| Class N Warrant (right to buy) | $0.0003 | 05/31/2019 | D | 885(5) | 05/01/2019 | 06/28/2019 | Common Stock | 885 | $0 | 0 | D | ||||
| Class N Warrant (right to buy) | $0.0003 | 05/31/2019 | A | 885(5) | 05/31/2019 | 09/03/2019 | Common Stock | 885 | $0 | 885 | D | ||||
| Class N Warrant (right to buy) | $0.0003 | 08/29/2019 | M | 885(1) | 05/31/2019 | 09/03/2019 | Common Stock | 885 | $0 | 0 | D | ||||
| Class O Warrant (right to buy) | $0.0003 | 12/11/2017 | A | 1,141(6) | 12/11/2017 | 03/17/2019 | Common Stock | 1,141 | $0 | 1,141 | D | ||||
| Class O Warrant (right to buy) | $0.0003 | 03/01/2019 | D | 1,141(7) | 12/11/2017 | 03/17/2019 | Common Stock | 1,141 | $0 | 0 | D | ||||
| Class O Warrant (right to buy) | $0.0003 | 03/01/2019 | A | 1,141(7) | 03/01/2019 | 06/28/2019 | Common Stock | 1,141 | $0 | 1,141 | D | ||||
| Class O Warrant (right to buy) | $0.0003 | 05/31/2019 | D | 1,141(8) | 03/01/2019 | 06/28/2019 | Common Stock | 1,141 | $0 | 0 | D | ||||
| Class O Warrant (right to buy) | $0.0003 | 05/31/2019 | A | 1,141(8) | 05/31/2019 | 09/03/2019 | Common Stock | 1,141 | $0 | 1,141 | D | ||||
| Class O Warrant (right to buy) | $0.0003 | 08/29/2019 | M | 1,141(2) | 05/31/2019 | 09/03/2019 | Common Stock | 1,141 | $0 | 0 | D | ||||
| Stock Option (right to buy) | $15 | 06/16/2016 | A | 1,333 | (9) | 06/16/2026 | Common Stock | 1,333 | $0 | 1,333 | D | ||||
| Stock Option (right to buy) | $67.5 | 11/09/2016 | A | 1,132 | (9) | 11/09/2026 | Common Stock | 1,132 | $0 | 1,132 | D | ||||
| Stock Option (right to buy) | $41.25 | 06/15/2017 | A | 1,600 | (9) | 06/15/2027 | Common Stock | 1,600 | $0 | 1,600 | D | ||||
| Stock Option (right to buy) | $78.75 | 09/20/2018 | A | 2,000 | (9) | 09/20/2028 | Common Stock | 2,000 | $0 | 2,000 | D | ||||
| Stock Option (right to buy) | $56.25 | 08/26/2019 | A | 133 | (9) | 08/26/2029 | Common Stock | 133 | $0 | 133 | D | ||||
| Stock Option (right to buy) | $14.2 | 10/22/2024 | A | 40,000 | (10) | 10/22/2034 | Common Stock | 40,000 | $0 | 40,000 | D | ||||
| Explanation of Responses: |
| 1. On August 29, 2019, the reporting person exercised the Class N Warrants for 885 shares of common stock of Sanuwave Health, Inc. (the "Company") at an exercise price of $0.00029 per share. |
| 2. On August 29, 2019, the reporting person exercised the Class O Warrants for 1,141 shares of the Company's common stock at an exercise price of $0.00029 per share. |
| 3. On January 23, 2019, the Company extended the expiration date of the Class N Warrants to May 1, 2019. |
| 4. On May 1, 2019, the Company extended the expiration date of the Class N Warrants to June 28, 2019. |
| 5. On May 31, 2019, the Company extended the expiration date of the Class N Warrants to September 3, 2019. |
| 6. On December 11, 2017, the reporting person received Class O Warrants exercisable for 1,141 shares of common stock at an exercise price of $0.00029 per share as compensation. |
| 7. On March 1, 2019, the Company extended the expiration date of the Class O Warrants to June 28, 2019. |
| 8. On May 31, 2019, the Company extended the expiration date of the Class O Warrants to September 3, 2019. |
| 9. Options were fully vested at the grant date. |
| 10. Options will vest over a period of three years in 12 equal installments on each quarterly anniversary of the grant date. |
| Remarks: |
| All share amounts and exercise prices herein have been retroactively adjusted to reflect the 1-for-375 reverse stock split of the Company's common stock which occurred on October 18, 2024. |
| /s/ Griffin D. Foster as Attorney-in-Fact for Peter Stegagno | 04/07/2025 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||