X0306 4 2017-04-19 0 0001506492 Sunshine Heart, Inc. SSH 0001213867 ERB JOHN L 12988 VALLEY VIEW ROAD EDEN PRAIRIE MN 55344 1 1 0 0 CEO and President Common Stock 2017-04-19 4 P 0 100000 A 115468 D Warrant to Purchase Common Stock (right to buy) 1.1 2017-04-19 4 P 0 100000 A 2017-04-24 2022-04-24 Common Stock 100000 100000 D The reporting person purchased Class A Units ("Units") consisting of one share of common stock and one warrant to purchase one share of common stock for $1.00 per Unit in an underwritten public offering by the issuer. The shares of common stock and warrants comprising the Units were issued separately. The offering is expected to close on April 24, 2017. On January 12, 2017, the issuer effected a 1-for-30 reverse stock split of the issued and outstanding shares of its common stock. Upon effectiveness of the reverse stock split, every 30 shares of common stock was automatically converted into one share of common stock, resulting in a decrease of the insider's common stock holdings of 448,660 shares. Gayle C. Aiken, by Power of Attorney 2017-04-20