0001596771-17-000005.txt : 20170125 0001596771-17-000005.hdr.sgml : 20170125 20170125104040 ACCESSION NUMBER: 0001596771-17-000005 CONFORMED SUBMISSION TYPE: D PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20170125 DATE AS OF CHANGE: 20170125 EFFECTIVENESS DATE: 20170125 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Sunshine Heart, Inc. CENTRAL INDEX KEY: 0001506492 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 680533453 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D SEC ACT: 1933 Act SEC FILE NUMBER: 021-279171 FILM NUMBER: 17545288 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 D 1 primary_doc.xml X0707 D LIVE 0001506492 Sunshine Heart, Inc. 12988 VALLEY VIEW ROAD EDEN PRAIRIE MN MINNESOTA 55344 952-345-4200 DELAWARE None None Corporation true John L. Erb 12988 Valley View Road Eden Prairie MN MINNESOTA 55344 Executive Officer Director Claudia Drayton 12988 Valley View Road Eden Prairie MN MINNESOTA 55344 Executive Officer Eric Lovett 12988 Valley View Road Eden Prairie MN MINNESOTA 55344 Executive Officer Jon Salveson 12988 Valley View Road Eden Prairie MN MINNESOTA 55344 Director Molly Wade 12988 Valley View Road Eden Prairie MN MINNESOTA 55344 Executive Officer Gregory Waller 12988 Valley View Road Eden Prairie MN MINNESOTA 55344 Director Warren S. Watson 12988 Valley View Road Eden Prairie MN MINNESOTA 55344 Director Biotechnology Decline to Disclose 06b false 2017-01-11 false true true true false 0 Northland Securities, Inc. 40258 None None 45 South 7th Street Suite 2000 Minneapolis MN MINNESOTA 55402 NJ NEW JERSEY NY NEW YORK false 200000 200000 0 Total offering amount includes the concurrent registered offering of preferred stock and excludes proceeds totaling up to $211,765 from the exercise of the warrants. false 2 12000 0 Excludes 70,588 warrants to purchase common stock received by placement agent as part of its compensation. 0 Proceeds to be used for working capital and general corporate purposes. false Sunshine Heart, Inc. /s/ Claudia Drayton Claudia Drayton Chief Financial Officer 2017-01-25