SEC Form 4 · accession 0001534424-16-001012
ClearPoint Neuro, Inc. · CLPT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Francis P Grillo
Officer — CHIEF EXECUTIVE OFFICER · Director
Period of report
Sep 2, 2016
Accepted (ET)
Sep 7, 2016 · 6:36 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 | Sep 2, 2016 | P$0 | 20,000 | — | A | 32,088 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants (right to buy)F1,F2 | $5.50 | Sep 2, 2016 | P | 18,000 | A | Sep 2, 2016 | Sep 2, 2021 | Common Stock | 18,000 | 18,000 | D |
Explanation of responses
- F1The reported securities are included within 20,000 units purchased by the Reporting Person for $5.00 per unit. Each unit consis of one share of common stock and one warrant to purchase 0.90 share of common stock.
- F2The shares subject to this warrant are immediately exercisable.