Investor FAQs

Sunshine Heart, Inc. (the Company or Sunshine Heart) is a Delaware incorporated company. On 28 September 2004, trading in CHESS depositary interests (CDIs) of Sunshine Heart commenced on the ASX under the stock ticker ‘SHC.’ Sunshine Heart had its Form 10 registration statement declared effective by the U.S. Securities and Exchange Commission (the SEC) on 14 February 2012. Trading on NASDAQ commenced on 16 February 2012 under the ticker ‘SSH.’


To assist all shareholders of Sunshine Heart, a list of Frequently Asked Questions in relation to these changes and the dual listing of Sunshine Heart on ASX and NASDAQ are set out below. To access the forms needed to convert CDIs to common stock and to convert common stock to CDIs, see Question 7.


Important Notice: The information in this document does not take into account your individual investment objectives, financial situation and needs. The information in this document is of a general nature and is not financial product advice and should not be relied upon as the sole basis for any investment decision. Shareholders should consult their financial, legal or tax adviser before deciding to buy or sell shares in Sunshine Heart. Your adviser may ask you for the Sunshine Heart CUSIP number. For your reference, Sunshine Heart’s CUSIP number is 86782U106.


Sunshine Heart began operating its business in November 1999 through Sunshine Heart Company Pty Ltd., which currently is a wholly owned Australian subsidiary of Sunshine Heart, Inc.

Sunshine Heart, Inc. was incorporated in Delaware on August 22, 2002.

Sunshine Heart is traded on the NASDAQ under the stock symbol of SSH.

Sunshine Heart was previously listed on the Australian Stock Exchange (ASX).  On February 5, 2013, we received conditional approval from the ASX to delist from the official list of the ASX. The official delisting occurred at the close of trading on May 6, 2013.

Sunshine Heart’s headquarters are located in 12988 Valley View Road, Eden Prairie, Minnesota 55344.

Sunshine Heart’s fiscal year begins on January 1 and ends on December 31.


Fiscal Quarters end on March 31(Q1), June 30 (Q2), September 30 (Q3), and December 31 (Q4).

Sunshine Heart announces quarterly earnings four times a year, generally early in the months of March, May, August and November.

Sunshine Heart’s latest Forms 10-K (annual) and 10-Q (Quarterly) can be found on Sunshine Heart’s investor relations web site as well as on the U.S. Securities and Exchange Commission web site. These filings include Sunshine Heart’s most recent annual and quarterly financial information that has been filed.

Ernst & Young LLP serves as the independent auditor for Sunshine Heart.

Honigman Miller Schwartz and Cohn LLP

Sunshine Heart has never paid a cash dividend on our common stock. For the foreseeable future, we intend to retain any earnings in our business, and we do not anticipate paying any cash dividends.

Sunshine Heart’s CUSIP number is 86782U106

The Sunshine Heart Investor Relations Web site contains a closing stock price chart in the section titled Stock Information.

Sunshine Heart stock can be purchased from just about any brokerage firm, including Internet-based and discount brokers.

No. Sunshine Heart does not currently issue dividends on common stock or have a DRIP.

The stockholder meeting is determined by the Board of Directors. Proxy materials and annual reports are available online or mailed at request.

Please contact our transfer agent, American Stock Transfer & Trust Company (AST). Shareholders can call AST customer service at 1-800-937-5449 for transfers, address changes, or any other questions regarding their Sunshine Heart stock certificates.

Additionally, shareholders can mail correspondence to AST at the following address:

American Stock Transfer & Trust Company

59 Maiden Lane

          New York, NY 10038

The Corporate and Investor Relations contact information is as follows:


Corporate Relations

Sunshine Heart, Inc.

12988 Valley View Road

Eden Prairie, Minnesota USA


Investor Relations

Blueprint Life Science Group

+1-415-375-3340, extension 103




You can also contact us through our online investor IR Contact Information form.

Please submit your question using the form below.

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