InsiderTrades

Form 4/A for HYPR Hyperfine, Inc.

Accepted 2022-01-10 00:00:00 ET · period of report 2021-12-22 · accession 0001104659-22-002890 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X Filed Traded Ticker Insider Title Type Price Qty Owned ΔOwn Value
DMAI 2022-01-10 2021-12-22 HYPR ROTHBERG JONATHAN M Dir, 10% A - Grant — +16.18M 95.5K New —
DMA 2022-01-10 2021-12-22+ HYPR ROTHBERG JONATHAN M Dir, 10% A - Grant $0.00 +123.7K 104.1K New $0
DA 2022-01-10 2021-12-22 HYPR ROTHBERG JONATHAN M Dir, 10% A - Grant — +982.5K 982.5K New —

Purchase Sale Sale after option exercise All abbreviations

Every reported transaction

#TableSecurityDateCodeA/DSharesPriceOwned afterOwnExercise / expiryUnderlyingFootnotes
1 Common Class B Common Stock 2021-12-22 A A 818,750 — 818,750 I — — (F9) Received in connection with the Mergers in exchange for 2,500,000 shares of Hyperfine Series A preferred stock.
2 Common Class A Common Stock 2021-12-22 A A 585,737 — 585,737 I By Bonnie E Gould Rothberg MD — — (F4) Received in connection with the Mergers in exchange for 1,403,701 shares of Hyperfine Series B preferred stock and 701,700 shares of Liminal Series A-2 preferred stock. (F5) Dr. Rothberg is the sole manager of 4C Holdings I, LLC, 4C Holdings V, LLC and 2012 JMR Trust Common, LLC. Dr. Rothberg is the spouse of Bonnie E. Gould Rothberg MD and Dr. Rothberg's son is the manager of 23rd Century Capital LLC. Dr. Rothberg disclaims beneficial ownership of the shares held by his spouse and 23rd Century Capital LLC.
3 Common Class A Common Stock 2021-12-23 A A 19,586 $0.00 123,660 D 23rd Century Capital LLC — — (F3) Consists of restricted stock units ("RSUs"). Each RSU represents the right to receive one share of common stock upon vesting. The RSUs vest in equal annual installments over three years beginning on December 23, 2022, subject to Dr. Rothberg's continued service through the applicable vesting date. (F5) Dr. Rothberg is the sole manager of 4C Holdings I, LLC, 4C Holdings V, LLC and 2012 JMR Trust Common, LLC. Dr. Rothberg is the spouse of Bonnie E. Gould Rothberg MD and Dr. Rothberg's son is the manager of 23rd Century Capital LLC. Dr. Rothberg disclaims beneficial ownership of the shares held by his spouse and 23rd Century Capital LLC.
4 Common Class A Common Stock 2021-12-22 A A 440,295 — 440,295 I By 4C Holdings I, LLC — — (F6) Received in connection with the Mergers in exchange for 1,344,413 shares of Hyperfine Series B preferred stock. (F5) Dr. Rothberg is the sole manager of 4C Holdings I, LLC, 4C Holdings V, LLC and 2012 JMR Trust Common, LLC. Dr. Rothberg is the spouse of Bonnie E. Gould Rothberg MD and Dr. Rothberg's son is the manager of 23rd Century Capital LLC. Dr. Rothberg disclaims beneficial ownership of the shares held by his spouse and 23rd Century Capital LLC.
5 Common Class B Common Stock 2021-12-22 A A 14,236,538 — 14,236,538 I — — (F8) Received in connection with the Mergers in exchange for 22,500,000 shares of Hyperfine Series B preferred stock and 38,239,355 shares of Liminal Series A-1 preferred stock.
6 Common Class A Common Stock 2021-12-22 A A 95,507 — 95,507 I By 4C Holdings V, LLC — — (F7) Received in connection with the Mergers in exchange for 291,625 shares of Hyperfine Series B preferred stock. (F5) Dr. Rothberg is the sole manager of 4C Holdings I, LLC, 4C Holdings V, LLC and 2012 JMR Trust Common, LLC. Dr. Rothberg is the spouse of Bonnie E. Gould Rothberg MD and Dr. Rothberg's son is the manager of 23rd Century Capital LLC. Dr. Rothberg disclaims beneficial ownership of the shares held by his spouse and 23rd Century Capital LLC.
7 Common Class A Common Stock 2021-12-22 A A 104,074 — 104,074 D 2012 JMR Trust Common, LLC — — (F2) a Delaware corporation ("Liminal"), pursuant to which Merger Sub I merged with and into Hyperfine (the "Hyperfine Merger"), with Hyperfine surviving the Hyperfine Merger as a wholly owned subsidiary of HealthCor, and Merger Sub II merged with and into Liminal (the "Liminal Merger" and, together with the Hyperfine Merger, the "Mergers"), with Liminal surviving the Liminal Merger as a wholly owned subsidiary of HealthCor (which changed its name to "Hyperfine, Inc.", the "Issuer"), these shares were received in exchange for 275,700 shares of Hyperfine Series B preferred stock and 76,739 shares of Liminal Series A-2 preferred stock. (F1) In connection with the closing of the transactions contemplated by the Business Combination Agreement, dated as of July 7, 2021, by and among HealthCor Catalio Acquisition Corp. ("HealthCor"), Optimus Merger Sub I, Inc., a Delaware corporation and wholly owned subsidiary of HealthCor ("Merger Sub I"), Optimus Merger Sub II, Inc., a Delaware corporation and wholly owned subsidiary of HealthCor ("Merger Sub II"), Hyperfine, Inc., a Delaware corporation ("Hyperfine"), and Liminal Sciences, Inc., (F5) Dr. Rothberg is the sole manager of 4C Holdings I, LLC, 4C Holdings V, LLC and 2012 JMR Trust Common, LLC. Dr. Rothberg is the spouse of Bonnie E. Gould Rothberg MD and Dr. Rothberg's son is the manager of 23rd Century Capital LLC. Dr. Rothberg disclaims beneficial ownership of the shares held by his spouse and 23rd Century Capital LLC.
8 Derivative Stock Option (right to buy) 2021-12-22 A A 982,500 — 982,500 D $3.27 · — to 2031-04-14 982,500 Class A Common Stock (F11) Received in connection with the Mergers in exchange for a stock option to acquire 3,000,000 shares of Hyperfine common stock for $1.07 per share. (F10) The shares underlying this option vested and became exercisable on December 15, 2021.