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

Role
10%+ Owner
Signature
/s/ Mark H. Carnegie
Issuer symbol
EBRCZ
Transactions as of
30 Sep 2024
Net transactions value
$0
Form type
3
Filing time
15 Oct 2024, 06:36:30 UTC
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding EBRCZ Common Stock 784,209 30 Sep 2024 by M. Carnegie Pty Ltd F1, F2
holding EBRCZ Common Stock 14,952,663 30 Sep 2024 by Carnegie Venture Capital Pty Ltd F1, F3
holding EBRCZ Common Stock 14,162,839 30 Sep 2024 by Carnegie Innovation Fund No 2 LP F1, F4
holding EBRCZ Common Stock 7,883,287 30 Sep 2024 by MHC Fund Services B Pty Ltd F1, F5
holding EBRCZ Common Stock 3,323,193 30 Sep 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) 30 Sep 2024 Common Stock 1,950,607 $0.4100 by M. H. Carnegie & Co. Pty Ltd F7
holding EBRCZ Warrant (right to buy) 30 Sep 2024 Common Stock 682,021 $0.5900 by Carnegie Venture Capital Pty Ltd F3
holding EBRCZ Warrant (right to buy) 30 Sep 2024 Common Stock 224,263 $0.5900 by Carnegie Innovation Fund No 2 LP F4
holding EBRCZ Warrant (right to buy) 30 Sep 2024 Common Stock 177,063 $0.5900 by MHC Fund Services B Pty Ltd F5
holding EBRCZ Warrant (right to buy) 30 Sep 2024 Common Stock 682,021 $0.5900 by Carnegie Venture Capital Pty Ltd F3
holding EBRCZ Warrant (right to buy) 30 Sep 2024 Common Stock 224,263 $0.5900 by Carnegie Innovation Fund No 2 LP F4
holding EBRCZ Warrant (right to buy) 30 Sep 2024 Common Stock 177,063 $0.5900 by MHC Fund Services B Pty Ltd F5
holding EBRCZ Warrant (right to buy) 30 Sep 2024 Common Stock 362,513 $0.5900 by Carnegie Venture Capital Pty Ltd F3
holding EBRCZ Warrant (right to buy) 30 Sep 2024 Common Stock 70,825 $0.5900 by MHC Fund Services B Pty Ltd F5
holding EBRCZ Warrant (right to buy) 30 Sep 2024 Common Stock 91,159 $0.5900 by M. Carnegie Pty Ltd F2
holding EBRCZ Warrant (right to buy) 30 Sep 2024 Common Stock 337,558 $0.5900 by Carnegie Venture Capital Pty Ltd F3
holding EBRCZ Warrant (right to buy) 30 Sep 2024 Common Stock 378,575 $0.5900 by MHC Fund Services B Pty Ltd F5
holding EBRCZ Warrant (right to buy) 30 Sep 2024 Common Stock 91,159 $0.5900 by M. Carnegie Pty Ltd F2
holding EBRCZ Warrant (right to buy) 30 Sep 2024 Common Stock 337,558 $0.5900 by Carnegie Venture Capital Pty Ltd F3
holding EBRCZ Warrant (right to buy) 30 Sep 2024 Common Stock 378,575 $0.5900 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.