SEC Form 4 · accession 0001534424-15-000458
ClearPoint Neuro, Inc. · CLPT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew K. Rooke
Director
Period of report
Dec 18, 2015
Accepted (ET)
Dec 21, 2015 · 4:52 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001285550
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 18, 2015 | P$0 | 154,035 | — | A | 465,117 | I | By Withington Foundation |
| Common Stock | holding | — | — | — | 974,969 | D | ||
| Common Stock | holding | — | — | — | 186,304 | I | By trust | |
| Common Stock | holding | — | — | — | 186,304 | I | By trust | |
| Common Stock | holding | — | — | — | 186,304 | I | By trust | |
| Common Stock | holding | — | — | — | 186,304 | I | By trust | |
| Common Stock | holding | — | — | — | 104,077 | I | By trust | |
| Common Stock | holding | — | — | — | 104,077 | I | By trust | |
| Common Stock | holding | — | — | — | 104,077 | I | By trust | |
| Common Stock | holding | — | — | — | 104,077 | I | By trust | |
| Common Stock | holding | — | — | — | 104,077 | I | By trust | |
| Common Stock | holding | — | — | — | 104,077 | I | By trust | |
| Common Stock | holding | — | — | — | 104,077 | I | By trust | |
| Common Stock | holding | — | — | — | 104,077 | I | By trust | |
| Common Stock | holding | — | — | — | 500,000 | I | By Payne Partners LLC | |
| Common Stock | holding | — | — | — | 2,058,207 | I | By Rooke Fiduciary Management |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Warrants (right to buy)F1,F2 | $0.4058 | Dec 18, 2015 | P | 61,614 | A | Dec 18, 2015 | Dec 18, 2020 | Common Stock | 61,614 | 61,614 | I |
| Series B Warrants (right to buy)F1,F2 | $0.5275 | Dec 18, 2015 | P | 46,211 | A | Dec 18, 2015 | Dec 18, 2020 | Common Stock | 46,211 | 46,211 | I |
Explanation of responses
- F1The reported securities are included within 154,035 units purchased by the Withington Foundation for $0.3246 per unit. Each unit consists of one share of common stock, one series A warrant to purchase 0.40 share of common stock, and one series B warrant to purchase 0.30 share of common stock. The Reporting Person has voting and investment power over the securities owned by the Withington Foundation.
- F2The shares subject to this warrant are immediately exercisable.