Company: SNWV
Filing Date: 2025-03-20
Form Type: 10-K
Source: 0001628280-25-014141
Chunk: 38

Company: SANUWAVE Health, Inc.
Filing Date: 2025-03-20
Form: 10-K
Item: Item 12
Chunk 38
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 held by the Funds and by the Other Fund. Pursuant to Rule 13d-4 under the Exchange Act, each of the Funds expressly disclaims beneficial ownership over any of the securities held by the Funds and the Other Fund.

(6)AWM Investment Company, Inc., a Delaware corporation ("AWM"), is the investment adviser to Special Situations Cayman Fund, L.P., a Cayman Islands Limited Partnership ("CAYMAN"), Special Situations Fund III QP, L.P., a Delaware limited partnership ("SSFQP"), Special Situations Private Equity Fund, L.P., a Delaware limited partnership ("SSPE") and Special Situations Life Sciences Fund, L.P., a Delaware limited partnership ("SSLS"). The principal business of each fund is to invest in equity and equity-related securities and other securities of any kind or nature.

David M. Greenhouse ("Greenhouse") and Adam C. Stettner ("Stettner") are members of: SSCayman, L.L.C., a Delaware limited liability company ("SSCAY"), the general partner of CAYMAN; MGP Advisers Limited Partnership, a Delaware limited partnership ("MGP"), the general partner of SSFQP; MG Advisers, L.L.C., a New York limited liability company ("MG"), the general partner of SSPE; and LS Advisers, L.L.C., a New York limited liability company ("LS"). Greenhouse and Stettner are also controlling principals of AWM.

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AWM is the investment adviser to each of the funds.  As the investment adviser to the funds, AWM holds sole voting over 91,948 shares of common stock of the Company held by CAYMAN, 330,835 shares held by SSFQP, 109,091 shares held by SSPE and 74,187 shares held by SSLS.  Greenhouse and Stettner are members of: SSCAY, the general partner of CAYMAN; MGP, the general partner of SSFQP; MG, the general partner of SSPE; and LS, the general partner of SSLS. Greenhouse and Stettner are also controlling principals of AWM. 

Securities Authorized for Issuance Under Equity Compensation Plans

Plan categoryNumber ofsecurities to beissued upon exercise ofoutstandingoptions, warrants,and rights (a)Weighted-averageexercise priceof outstandingoptions,warrants andrights (b)Number ofsecuritiesremaining available forfuture issuance under equitycompensation plans