SEC Form 4 · accession 0001534424-16-000865
ClearPoint Neuro, Inc. · CLPT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew K. Rooke
Director
Period of report
Jun 30, 2016
Accepted (ET)
Jul 1, 2016 · 4:24 pm EDT
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 | Jun 30, 2016 | A | 20,457 | $0.21 | A | 10,217,555 | 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 | — | — | — | 465,117 | I | By Withington Foundation | |
| 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
No Table II lines on this filing.
Explanation of responses
- F1These shares were issued pursuant to the issuer's Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under such plan. The shares were issued at a price of $0.21 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended June 30, 2016.