Form 4 for QSI Quantum-Si Inc
Accepted 2024-12-31 00:00:00 ET · period of report 2024-12-27 · accession 0001140361-24-050719 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| MTI | 2024-12-31 | 2024-12-27 | QSI | ROTHBERG JONATHAN M | Dir, 10% | S - Sale | $3.34 | -3.51M | 1.29M | -73% | -$11.71M |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Class A Common Stock | 2024-12-27 | S | D | 834,253 | $3.30 | 1,292,313 | I By NVR TR, LLC | — | — | (F1) This sale was effected in connection with estate planning pursuant to a 10b5-1 trading plan established by Dr. Rothberg on September 11, 2023. (F2) Represents the weighted average sales price per share. The shares sold at prices ranging from $3.07 to $4.0697 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. (F4) Includes additional shares of Class A common stock previously held by 2012 JMR Trust Common, LLC that were distributed for estate planning purposes to NVR TR, LLC, JNR TR, LLC, GBR TR, LLC and EJR TR, LLC. (F5) Dr. Rothberg is the sole manager of 4C Holdings I, LLC, 4C Holdings V, LLC, 2012 JMR Trust Common, LLC, NVR TR, LLC, JNR TR, LLC, JAR TR, LLC, GBR TR, LLC and EJR TR, 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. |
| 2 | Common | Class A Common Stock | 2024-12-27 | S | D | 42,313 | $4.10 | 1,250,000 | I By NVR TR, LLC | — | — | (F1) This sale was effected in connection with estate planning pursuant to a 10b5-1 trading plan established by Dr. Rothberg on September 11, 2023. (F3) Represents the weighted average sales price per share. The shares sold at prices ranging from $4.07 to $4.135 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. (F4) Includes additional shares of Class A common stock previously held by 2012 JMR Trust Common, LLC that were distributed for estate planning purposes to NVR TR, LLC, JNR TR, LLC, GBR TR, LLC and EJR TR, LLC. (F5) Dr. Rothberg is the sole manager of 4C Holdings I, LLC, 4C Holdings V, LLC, 2012 JMR Trust Common, LLC, NVR TR, LLC, JNR TR, LLC, JAR TR, LLC, GBR TR, LLC and EJR TR, 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 | 2024-12-27 | S | D | 42,313 | $4.10 | 1,250,000 | I By EJR TR, LLC | — | — | (F1) This sale was effected in connection with estate planning pursuant to a 10b5-1 trading plan established by Dr. Rothberg on September 11, 2023. (F3) Represents the weighted average sales price per share. The shares sold at prices ranging from $4.07 to $4.135 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. (F4) Includes additional shares of Class A common stock previously held by 2012 JMR Trust Common, LLC that were distributed for estate planning purposes to NVR TR, LLC, JNR TR, LLC, GBR TR, LLC and EJR TR, LLC. (F5) Dr. Rothberg is the sole manager of 4C Holdings I, LLC, 4C Holdings V, LLC, 2012 JMR Trust Common, LLC, NVR TR, LLC, JNR TR, LLC, JAR TR, LLC, GBR TR, LLC and EJR TR, 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 | 2024-12-27 | S | D | 834,254 | $3.30 | 1,292,313 | I By JNR TR, LLC | — | — | (F1) This sale was effected in connection with estate planning pursuant to a 10b5-1 trading plan established by Dr. Rothberg on September 11, 2023. (F2) Represents the weighted average sales price per share. The shares sold at prices ranging from $3.07 to $4.0697 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. (F4) Includes additional shares of Class A common stock previously held by 2012 JMR Trust Common, LLC that were distributed for estate planning purposes to NVR TR, LLC, JNR TR, LLC, GBR TR, LLC and EJR TR, LLC. (F5) Dr. Rothberg is the sole manager of 4C Holdings I, LLC, 4C Holdings V, LLC, 2012 JMR Trust Common, LLC, NVR TR, LLC, JNR TR, LLC, JAR TR, LLC, GBR TR, LLC and EJR TR, 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 A Common Stock | 2024-12-27 | S | D | 42,313 | $4.10 | 1,250,000 | I By JNR TR, LLC | — | — | (F1) This sale was effected in connection with estate planning pursuant to a 10b5-1 trading plan established by Dr. Rothberg on September 11, 2023. (F3) Represents the weighted average sales price per share. The shares sold at prices ranging from $4.07 to $4.135 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. (F4) Includes additional shares of Class A common stock previously held by 2012 JMR Trust Common, LLC that were distributed for estate planning purposes to NVR TR, LLC, JNR TR, LLC, GBR TR, LLC and EJR TR, LLC. (F5) Dr. Rothberg is the sole manager of 4C Holdings I, LLC, 4C Holdings V, LLC, 2012 JMR Trust Common, LLC, NVR TR, LLC, JNR TR, LLC, JAR TR, LLC, GBR TR, LLC and EJR TR, 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. |
| 6 | Common | Class A Common Stock | 2024-12-27 | S | D | 834,254 | $3.30 | 1,292,313 | I By GBR TR, LLC | — | — | (F1) This sale was effected in connection with estate planning pursuant to a 10b5-1 trading plan established by Dr. Rothberg on September 11, 2023. (F2) Represents the weighted average sales price per share. The shares sold at prices ranging from $3.07 to $4.0697 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. (F4) Includes additional shares of Class A common stock previously held by 2012 JMR Trust Common, LLC that were distributed for estate planning purposes to NVR TR, LLC, JNR TR, LLC, GBR TR, LLC and EJR TR, LLC. (F5) Dr. Rothberg is the sole manager of 4C Holdings I, LLC, 4C Holdings V, LLC, 2012 JMR Trust Common, LLC, NVR TR, LLC, JNR TR, LLC, JAR TR, LLC, GBR TR, LLC and EJR TR, 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 | 2024-12-27 | S | D | 42,313 | $4.10 | 1,250,000 | I By GBR TR, LLC | — | — | (F1) This sale was effected in connection with estate planning pursuant to a 10b5-1 trading plan established by Dr. Rothberg on September 11, 2023. (F3) Represents the weighted average sales price per share. The shares sold at prices ranging from $4.07 to $4.135 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. (F4) Includes additional shares of Class A common stock previously held by 2012 JMR Trust Common, LLC that were distributed for estate planning purposes to NVR TR, LLC, JNR TR, LLC, GBR TR, LLC and EJR TR, LLC. (F5) Dr. Rothberg is the sole manager of 4C Holdings I, LLC, 4C Holdings V, LLC, 2012 JMR Trust Common, LLC, NVR TR, LLC, JNR TR, LLC, JAR TR, LLC, GBR TR, LLC and EJR TR, 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 | Common | Class A Common Stock | 2024-12-27 | S | D | 834,254 | $3.30 | 1,292,313 | I By EJR TR, LLC | — | — | (F1) This sale was effected in connection with estate planning pursuant to a 10b5-1 trading plan established by Dr. Rothberg on September 11, 2023. (F2) Represents the weighted average sales price per share. The shares sold at prices ranging from $3.07 to $4.0697 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. (F4) Includes additional shares of Class A common stock previously held by 2012 JMR Trust Common, LLC that were distributed for estate planning purposes to NVR TR, LLC, JNR TR, LLC, GBR TR, LLC and EJR TR, LLC. (F5) Dr. Rothberg is the sole manager of 4C Holdings I, LLC, 4C Holdings V, LLC, 2012 JMR Trust Common, LLC, NVR TR, LLC, JNR TR, LLC, JAR TR, LLC, GBR TR, LLC and EJR TR, 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. |