Richard Brounstein - 11 Nov 2021 Form 4 Insider Report for HeartBeam, Inc. (BEAT)

Role
CHIEF FINANCIAL OFFICER
Signature
/s/ Richard Brounstein
Issuer symbol
BEAT
Transactions as of
11 Nov 2021
Net transactions value
+$182,577
Form type
4
Filing time
15 Nov 2021, 21:00:11 UTC
Previous filing
12 Nov 2021
Next filing
23 Dec 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction BEAT Common Stock Options Exercise $81,753 +19,465 +31% $4.20 82,343 11 Nov 2021 See Footnote F1, F2
transaction BEAT Common Stock Options Exercise $40,874 +9,732 +12% $4.20 92,075 11 Nov 2021 See Footnote F3, F4
transaction BEAT Common Stock Purchase $29,950 +5,000 +5.4% $5.99 97,075 11 Nov 2021 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction BEAT Warrant (right to buy) Award $30,000 +5,000 $6.00 5,000 11 Nov 2021 Common Stock 5,000 Direct F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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.
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.
F5 The underlying warrant granted to the reporting person represents the right to purchase one share of common stock of HeartBeam, Inc.