Jonathan M. Rothberg - Jun 10, 2021 Form 4 Insider Report for Quantum-Si Inc (QSI)

Role
Director, 10%+ Owner
Signature
/s/ John P. Condon, Attorney-in-Fact
Stock symbol
QSI
Transactions as of
Jun 10, 2021
Transactions value $
$0
Form type
4
Date filed
6/14/2021, 06:56 PM
Next filing
Jul 2, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction QSI Class A Common Stock Award +12.5M 12.5M Jun 10, 2021 2012 JMR Trust Common, LLC F1, F2
transaction QSI Class A Common Stock Award +1.92M 1.92M Jun 10, 2021 23rd Century Capital LLC F2, F3
transaction QSI Class A Common Stock Award +273K 273K Jun 10, 2021 By Bonnie E Gould Rothberg MD F2, F4
transaction QSI Class A Common Stock Award +1.02M 1.02M Jun 10, 2021 Direct F5
transaction QSI Class A Common Stock Award +1.5M +146.72% 2.52M Jun 10, 2021 Direct F6, F7
transaction QSI Class A Common Stock Award $0 +20.5K +0.81% $0.00 2.54M Jun 11, 2021 Direct F8
transaction QSI Class B Common Stock Award +17.9M 17.9M Jun 10, 2021 By 4C Holdings I, LLC F2, F9
transaction QSI Class B Common Stock Award +1.99M 1.99M Jun 10, 2021 By 4C Holdings V, LLC F2, F10
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 In connection with the closing of the transactions contemplated by the Business Combination Agreement, dated as of February 18, 2021, by and among HighCape Capital Acquisition Corp. ("HighCape"), Tenet Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of HighCape ("Merger Sub"), and Quantum-Si Incorporated, a Delaware corporation ("Quantum-Si"), pursuant to which Merger Sub merged with and into Quantum-Si (the "Merger"), with Quantum-Si surviving as a wholly-owned subsidiary of HighCape (which changed its name to "Quantum-Si Incorporated", the "Issuer"), these shares were received in exchange for 15,649,039 shares of Quantum-Si Series B preferred stock.
F2 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.
F3 Received in connection with the Merger in exchange for 2,403,846 shares of Quantum-Si Series B preferred stock.
F4 Received in connection with the Merger in exchange for 342,850 shares of Quantum-Si Series B preferred stock.
F5 Received in connection with the Merger in exchange for 1,276,641 shares of Quantum-Si Series B preferred stock and 5,328 shares of Quantum-Si Series E preferred stock.
F6 Consists of restricted stock units ("RSUs"). Each RSU represents the right to receive one share of common stock upon vesting. The RSUs vest on March 12, 2023.
F7 Received in connection with the Merger in exchange for 1,880,878 RSUs of Quantum-Si.
F8 Consists of 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 June 11, 2022, subject to Dr. Rothberg's continued service through the applicable vesting date.
F9 Received in connection with the Merger in exchange for 22,500,000 shares of Quantum-Si Series A preferred stock.
F10 Received in connection with the Merger in exchange for 2,500,000 shares of Quantum-Si Series A preferred stock.