Form 4 for BEATW HeartBeam, Inc.
Accepted 2021-11-15 00:00:00 ET · period of report 2021-11-11 · accession 0001213900-21-059716 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2021-11-15 | 2021-11-11 | BEATW | BROUNSTEIN RICHARD D | CFO | M - OptEx | $4.20 | +29.2K | 92.1K | +46% | +$122.6K |
| D | 2021-11-15 | 2021-11-11 | BEATW | BROUNSTEIN RICHARD D | CFO | P - Purchase | $5.99 | +5,000 | 97.1K | +5% | +$29.9K |
| D | 2021-11-15 | 2021-11-11 | BEATW | BROUNSTEIN RICHARD D | CFO | A - Grant | $6.00 | +5,000 | 5,000 | New | +$30.0K |
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 | Common Stock | 2021-11-11 | M | A | 19,465 | $4.20 | 82,343 | I See Footnote | — | — | (F1) Represents shares purchased from conversion of convertible note, principal and interest of $81,753. (F2) The underlying common stock is held by the R and S Brounstein Living Trust, of which the Reporting Person is a Trustee. |
| 2 | Common | Common Stock | 2021-11-11 | M | A | 9,732 | $4.20 | 92,075 | I See Footnote | — | — | (F3) Represents shares purchased from conversion of convertible note, principal and interest of $40,874. (F4) The underlying common stock is held by CTRLCFO, LLC, of which the Reporting Person is the Manager. |
| 3 | Common | Common Stock | 2021-11-11 | P | A | 5,000 | $5.99 | 97,075 | D | — | — | |
| 4 | Derivative | Warrant (right to buy) | 2021-11-11 | A | A | 5,000 | $6.00 | 5,000 | D | — · 2021-11-11 to 2026-11-11 | 5,000 Common Stock | (F5) The underlying warrant granted to the reporting person represents the right to purchase one share of common stock of HeartBeam, Inc. |