Mark H. Carnegie - Sep 30, 2024 Form 3 Insider Report for EBR Systems, Inc. (EBRCZ)

Role
10%+ Owner
Signature
/s/ Mark H. Carnegie
Stock symbol
EBRCZ
Transactions as of
Sep 30, 2024
Transactions value $
$0
Form type
3
Date filed
10/15/2024, 06:36 AM

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding EBRCZ Common Stock 784K Sep 30, 2024 by M. Carnegie Pty Ltd F1, F2
holding EBRCZ Common Stock 15M Sep 30, 2024 by Carnegie Venture Capital Pty Ltd F1, F3
holding EBRCZ Common Stock 14.2M Sep 30, 2024 by Carnegie Innovation Fund No 2 LP F1, F4
holding EBRCZ Common Stock 7.88M Sep 30, 2024 by MHC Fund Services B Pty Ltd F1, F5
holding EBRCZ Common Stock 3.32M Sep 30, 2024 by MHC Fund Services 2A Pty Ltd F1, F6

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
holding EBRCZ Warrant (right to buy) Sep 30, 2024 Common Stock 1.95M $0.41 by M. H. Carnegie & Co. Pty Ltd F7
holding EBRCZ Warrant (right to buy) Sep 30, 2024 Common Stock 682K $0.59 by Carnegie Venture Capital Pty Ltd F3
holding EBRCZ Warrant (right to buy) Sep 30, 2024 Common Stock 224K $0.59 by Carnegie Innovation Fund No 2 LP F4
holding EBRCZ Warrant (right to buy) Sep 30, 2024 Common Stock 177K $0.59 by MHC Fund Services B Pty Ltd F5
holding EBRCZ Warrant (right to buy) Sep 30, 2024 Common Stock 682K $0.59 by Carnegie Venture Capital Pty Ltd F3
holding EBRCZ Warrant (right to buy) Sep 30, 2024 Common Stock 224K $0.59 by Carnegie Innovation Fund No 2 LP F4
holding EBRCZ Warrant (right to buy) Sep 30, 2024 Common Stock 177K $0.59 by MHC Fund Services B Pty Ltd F5
holding EBRCZ Warrant (right to buy) Sep 30, 2024 Common Stock 363K $0.59 by Carnegie Venture Capital Pty Ltd F3
holding EBRCZ Warrant (right to buy) Sep 30, 2024 Common Stock 70.8K $0.59 by MHC Fund Services B Pty Ltd F5
holding EBRCZ Warrant (right to buy) Sep 30, 2024 Common Stock 91.2K $0.59 by M. Carnegie Pty Ltd F2
holding EBRCZ Warrant (right to buy) Sep 30, 2024 Common Stock 338K $0.59 by Carnegie Venture Capital Pty Ltd F3
holding EBRCZ Warrant (right to buy) Sep 30, 2024 Common Stock 379K $0.59 by MHC Fund Services B Pty Ltd F5
holding EBRCZ Warrant (right to buy) Sep 30, 2024 Common Stock 91.2K $0.59 by M. Carnegie Pty Ltd F2
holding EBRCZ Warrant (right to buy) Sep 30, 2024 Common Stock 338K $0.59 by Carnegie Venture Capital Pty Ltd F3
holding EBRCZ Warrant (right to buy) Sep 30, 2024 Common Stock 379K $0.59 by MHC Fund Services B Pty Ltd F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents shares of the Issuer's common stock underlying the same amount of Chess Depository Interests ("CDIs"). The CDIs trade on the Australian Securities Exchange (the "ASX") and are held by CHESS Depositary Nominees Pty, Limited, a subsidiary of ASX Limited, the company that operates the ASX.
F2 Mark H. Carnegie is controlling member of M. Carnegie Pty Ltd and as such may be deemed to be the beneficial owner for purposes of Rule 16a-1(a) under the U.S. Securities Exchange Act of 1934, as amended (the "Exchange Act"), of the reported securities held by M. Carnegie Pty Ltd.
F3 M.H. Carnegie & Co. Pty Ltd, an Australian regulated company, serves as the investment manager for, and as such may be deemed to be the beneficial owner for purposes of Rule 16a-1(a) under the Exchange Act of the reported securities held by, Carnegie Venture Capital Pty Ltd, an Australian domiciled corporate limited partnership. Mark H. Carnegie is controlling member of M.H. Carnegie & Co. Pty Ltd and as such may be deemed to be the shared beneficial owner for purposes of Rule 16a-1(a) under the Exchange Act of the reported securities held by Carnegie Venture Capital Pty Ltd. Carnegie Venture Capital Pty Ltd, M.H. Carnegie & Co. Pty Ltd, and Mark H. Carnegie each disclaim beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein.
F4 M.H. Carnegie & Co. Pty Ltd, an Australian regulated company, serves as the investment manager for, and as such may be deemed to be the beneficial owner for purposes of Rule 16a-1(a) under the Exchange Act of the reported securities held by, Carnegie Innovation Fund No 2 LP, an Australian domiciled registered limited partnership. Mark H. Carnegie is controlling member of M.H. Carnegie & Co. Pty Ltd and as such may be deemed to be the shared beneficial owner for purposes of Rule 16a-1(a) under the Exchange Act of the reported securities held by Carnegie Innovation Fund No 2 LP. Carnegie Innovation Fund No 2 LP, M.H. Carnegie & Co. Pty Ltd, and Mark H. Carnegie each disclaim beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein.
F5 M.H. Carnegie & Co. Pty Ltd, an Australian regulated company, serves as the investment manager for, and as such may be deemed to be the beneficial owner for purposes of Rule 16a-1(a) under the Exchange Act of the reported securities held by, MHC Fund Services B Pty Ltd, an Australian domiciled investment trust. Mark H. Carnegie is controlling member of M.H. Carnegie & Co. Pty Ltd and as such may be deemed to be the shared beneficial owner for purposes of Rule 16a-1(a) under the Exchange Act of the reported securities held by MHC Fund Services B Pty Ltd. MHC Fund Services B Pty Ltd, M.H. Carnegie & Co. Pty Ltd, and Mark H. Carnegie each disclaim beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein.
F6 M.H. Carnegie & Co. Pty Ltd, an Australian regulated company, serves as the investment manager for, and as such may be deemed to be the beneficial owner for purposes of Rule 16a-1(a) under the Exchange Act of the reported securities held by, MHC Fund Services 2A Pty Ltd, an Australian domiciled investment trust. Mark H. Carnegie is controlling member of M.H. Carnegie & Co. Pty Ltd and as such may be deemed to be the shared beneficial owner for purposes of Rule 16a-1(a) under the Exchange Act of the reported securities held by MHC Fund Services 2A Pty Ltd. MHC Fund Services 2A Pty Ltd, M.H. Carnegie & Co. Pty Ltd, and Mark H. Carnegie each disclaim beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein.
F7 Includes 854,018 shares held on behalf of Trevor J. Moody, a director of the Issuer. Mark H. Carnegie is controlling member of M.H. Carnegie & Co. Pty Ltd and as such may be deemed to be the shared beneficial owner for purposes of Rule 16a-1(a) under the Exchange Act of the reported securities directly held by M.H. Carnegie & Co. Pty Ltd, an Australian regulated company. M.H. Carnegie & Co. Pty Ltd and Mark H. Carnegie each disclaim beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein.