Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ClearPoint Neuro, Inc.MRIC · Entity 2367 | Director | December 30, 2016 | January 03, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ClearPoint Neuro, Inc.
Report date December 30, 2016 · Filed January 03, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 27,982 |
Reported balance
After 2016-12-30 transaction · row 1
1 source rowRow 1 · 2016-12-30 · Grant · Acquired 1,801 · Balance 27,982 F1: These shares were issued pursuant to the issuer's Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under such plan. The shares were issued at a price of $2.64 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended December 30, 2016. |
| Common StockSEC Table I · non-derivative | IndirectBy trust | 210,000 |
Reported balance
Holding disclosure · report date 2016-12-30 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 210,000 |
| Common StockSEC Table I · non-derivative | IndirectBy trust | 4,657 |
Reported balance
Holding disclosure · report date 2016-12-30 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 4,657 |
| Common StockSEC Table I · non-derivative | IndirectBy trust | 4,657 |
Reported balance
Holding disclosure · report date 2016-12-30 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 4,657 |
| Common StockSEC Table I · non-derivative | IndirectBy trust | 4,657 |
Reported balance
Holding disclosure · report date 2016-12-30 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 4,657 |
| Common StockSEC Table I · non-derivative | IndirectBy trust | 4,657 |
Reported balance
Holding disclosure · report date 2016-12-30 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 4,657 |
| Common StockSEC Table I · non-derivative | IndirectBy trust | 2,601 |
Reported balance
Holding disclosure · report date 2016-12-30 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 2,601 |
| Common StockSEC Table I · non-derivative | IndirectBy trust | 2,601 |
Reported balance
Holding disclosure · report date 2016-12-30 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 2,601 |
| Common StockSEC Table I · non-derivative | IndirectBy trust | 2,601 |
Reported balance
Holding disclosure · report date 2016-12-30 · row 9
Holding and transaction disclosures are not merged.
1 source rowRow 9 · Balance 2,601 |
| Common StockSEC Table I · non-derivative | IndirectBy trust | 2,601 |
Reported balance
Holding disclosure · report date 2016-12-30 · row 10
Holding and transaction disclosures are not merged.
1 source rowRow 10 · Balance 2,601 |
| Common StockSEC Table I · non-derivative | IndirectBy trust | 2,601 |
Reported balance
Holding disclosure · report date 2016-12-30 · row 11
Holding and transaction disclosures are not merged.
1 source rowRow 11 · Balance 2,601 |
| Common StockSEC Table I · non-derivative | IndirectBy trust | 2,601 |
Reported balance
Holding disclosure · report date 2016-12-30 · row 12
Holding and transaction disclosures are not merged.
1 source rowRow 12 · Balance 2,601 |
| Common StockSEC Table I · non-derivative | IndirectBy trust | 2,601 |
Reported balance
Holding disclosure · report date 2016-12-30 · row 13
Holding and transaction disclosures are not merged.
1 source rowRow 13 · Balance 2,601 |
| Common StockSEC Table I · non-derivative | IndirectBy trust | 2,601 |
Reported balance
Holding disclosure · report date 2016-12-30 · row 14
Holding and transaction disclosures are not merged.
1 source rowRow 14 · Balance 2,601 |
| Common StockSEC Table I · non-derivative | IndirectBy Withington Foundation | 12,353 |
Reported balance
Holding disclosure · report date 2016-12-30 · row 15
Holding and transaction disclosures are not merged.
1 source rowRow 15 · Balance 12,353 |
| Common StockSEC Table I · non-derivative | IndirectBy Payne Partners LLC | 12,500 |
Reported balance
Holding disclosure · report date 2016-12-30 · row 16
Holding and transaction disclosures are not merged.
1 source rowRow 16 · Balance 12,500 |
| Common StockSEC Table I · non-derivative | IndirectBy Rooke Fiduciary Management | 51,455 |
Reported balance
Holding disclosure · report date 2016-12-30 · row 17
Holding and transaction disclosures are not merged.
1 source rowRow 17 · Balance 51,455 |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were issued pursuant to the issuer's Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under such plan. The shares were issued at a price of $2.64 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended December 30, 2016.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 30, 2016 Filed Jan 3, 2017 22:00 UTC | ClearPoint Neuro, Inc. MRIC · Entity 2367 | GrantCommon Stock | 1,801 | $2.64 | $4,754.64 |
DisclosureSEC source: 0001534424-17-000016 · rooke.xml · nonDerivative · entry 1 Rooke Andrew K. · CIK 0001540174 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,982 F1 · price: These shares were issued pursuant to the issuer's Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under such plan. The shares were issued at a price of $2.64 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended December 30, 2016. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 20:34 UTC | ClearPoint Neuro, Inc. MRIC · Entity 2367 | GrantCommon Stock | 638 | $6.65 | $4,242.70 |
DisclosureSEC source: 0001534424-16-001071 · rooke.xml · nonDerivative · entry 1 Rooke Andrew K. · CIK 0001540174 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,181 F1 · price: These shares were issued pursuant to the issuer's Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under such plan. The shares were issued at a price of $6.65 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended September 30, 2016. F2 · balance_after: This amount corrects a typographical error, which inadvertently overstated the reporting person's holdings, in the previously filed Form 4. Read SEC document |
| September 02, 2016 Filed Sep 7, 2016 22:39 UTC | ClearPoint Neuro, Inc. MRIC · Entity 2367 | ConversionWarrants (right to buy) · Derivative | 180,000 | Not disclosed Strike: $5.50 | Not disclosed |
DisclosureSEC source: 0001534424-16-001013 · rooke.xml · derivative · entry 21 Rooke Andrew K. · CIK 0001540174 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 180,000 Underlying: Common Stock · 180,000 shares Expires 2021-09-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: The reported securities are included within 200,000 units sold to the Reporting Person for $5.00 per unit upon the automatic conversion of the $1,000,000 principal balance of the 12% Second-Priority Secured Non-Convertible Promissory Note Due 2019 dated as of March 25, 2014 ("2019 Note") issued to and held by the Reporting Person, as amended by that certain Omnibus Amendment dated as of June 30, 2016 and that certain Second Omnibus Amendment dated as of August 31, 2016 (the "Second Omnibus Amendment"). Each unit consists of one share of common stock and one warrant to purchase 0.90 share of common stock. F4 · derivative.exercise_date: The shares subject to this warrant are immediately exercisable. Read SEC document |
| September 02, 2016 Filed Sep 7, 2016 22:39 UTC | ClearPoint Neuro, Inc. MRIC · Entity 2367 | Conversion2009 Note · Derivative | Not disclosed | $5.00 Strike: $5.00 | $1,000,000.00 |
DisclosureSEC source: 0001534424-16-001013 · rooke.xml · derivative · entry 20 Rooke Andrew K. · CIK 0001540174 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 0 Underlying: Unit · Not disclosed shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · reported_value: Upon the closing of the Issuer's private placement on September 2, 2016 (the "Private Placement"), in accordance with the terms and conditions of the Second Omnibus Amendment, the $1,000,000 principal balance of the 2019 Note held by the Reporting Person automatically converted into 200,000 units issued and sold to the Reporting Person based on the $5.00 offering price in the Private Placement. Each unit consists of common stock and one warrant to purchase 0.90 share of common stock. F3 · price: Upon the closing of the Issuer's private placement on September 2, 2016 (the "Private Placement"), in accordance with the terms and conditions of the Second Omnibus Amendment, the $1,000,000 principal balance of the 2019 Note held by the Reporting Person automatically converted into 200,000 units issued and sold to the Reporting Person based on the $5.00 offering price in the Private Placement. Each unit consists of common stock and one warrant to purchase 0.90 share of common stock. F3 · derivative.exercise_date: Upon the closing of the Issuer's private placement on September 2, 2016 (the "Private Placement"), in accordance with the terms and conditions of the Second Omnibus Amendment, the $1,000,000 principal balance of the 2019 Note held by the Reporting Person automatically converted into 200,000 units issued and sold to the Reporting Person based on the $5.00 offering price in the Private Placement. Each unit consists of common stock and one warrant to purchase 0.90 share of common stock. F3 · derivative.expiration_date: Upon the closing of the Issuer's private placement on September 2, 2016 (the "Private Placement"), in accordance with the terms and conditions of the Second Omnibus Amendment, the $1,000,000 principal balance of the 2019 Note held by the Reporting Person automatically converted into 200,000 units issued and sold to the Reporting Person based on the $5.00 offering price in the Private Placement. Each unit consists of common stock and one warrant to purchase 0.90 share of common stock. F3 · derivative.underlying: Upon the closing of the Issuer's private placement on September 2, 2016 (the "Private Placement"), in accordance with the terms and conditions of the Second Omnibus Amendment, the $1,000,000 principal balance of the 2019 Note held by the Reporting Person automatically converted into 200,000 units issued and sold to the Reporting Person based on the $5.00 offering price in the Private Placement. Each unit consists of common stock and one warrant to purchase 0.90 share of common stock. F3 · derivative.underlying_shares: Upon the closing of the Issuer's private placement on September 2, 2016 (the "Private Placement"), in accordance with the terms and conditions of the Second Omnibus Amendment, the $1,000,000 principal balance of the 2019 Note held by the Reporting Person automatically converted into 200,000 units issued and sold to the Reporting Person based on the $5.00 offering price in the Private Placement. Each unit consists of common stock and one warrant to purchase 0.90 share of common stock. Read SEC document |
| September 02, 2016 Filed Sep 7, 2016 22:39 UTC | ClearPoint Neuro, Inc. MRIC · Entity 2367 | PurchaseWarrants (right to buy) · Derivative | 9,000 | Not disclosed Strike: $5.50 | Not disclosed |
DisclosureSEC source: 0001534424-16-001013 · rooke.xml · derivative · entry 19 Rooke Andrew K. · CIK 0001540174 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 9,000 Underlying: Common Stock · 9,000 shares Expires 2021-09-02 F1 · price: The reported securities are included within 40,000 units purchased by the Reporting Person for $5.00 per unit. Each unit consists of one share of common stock and one warrant to purchase 0.90 share of common stock. F4 · derivative.exercise_date: The shares subject to this warrant are immediately exercisable. Read SEC document |
| September 02, 2016 Filed Sep 7, 2016 22:39 UTC | ClearPoint Neuro, Inc. MRIC · Entity 2367 | ConversionCommon Stock | 200,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001534424-16-001013 · rooke.xml · nonDerivative · entry 2 Rooke Andrew K. · CIK 0001540174 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 210,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: The reported securities are included within 200,000 units sold to the Reporting Person for $5.00 per unit upon the automatic conversion of the $1,000,000 principal balance of the 12% Second-Priority Secured Non-Convertible Promissory Note Due 2019 dated as of March 25, 2014 ("2019 Note") issued to and held by the Reporting Person, as amended by that certain Omnibus Amendment dated as of June 30, 2016 and that certain Second Omnibus Amendment dated as of August 31, 2016 (the "Second Omnibus Amendment"). Each unit consists of one share of common stock and one warrant to purchase 0.90 share of common stock. Read SEC document |
| September 02, 2016 Filed Sep 7, 2016 22:39 UTC | ClearPoint Neuro, Inc. MRIC · Entity 2367 | PurchaseCommon Stock | 10,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001534424-16-001013 · rooke.xml · nonDerivative · entry 1 Rooke Andrew K. · CIK 0001540174 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 10,000 F1 · price: The reported securities are included within 40,000 units purchased by the Reporting Person for $5.00 per unit. Each unit consists of one share of common stock and one warrant to purchase 0.90 share of common stock. Read SEC document |
| March 25, 2014 Filed Sep 7, 2016 22:39 UTC | ClearPoint Neuro, Inc. MRIC · Entity 2367 | PurchaseWarrants(5) (right to buy) · Derivative | 7,500 | Not disclosed Strike: $5.50 | Not disclosed |
DisclosureSEC source: 0001534424-16-001013 · rooke.xml · derivative · entry 22 Rooke Andrew K. · CIK 0001540174 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 7,500 Underlying: Common Stock · 7,500 shares Expires 2019-03-25 F5 · derivative.exercise_price: These warrants were previously reported on the Form 4 filed with the Securities and Exchange Commission on March 26, 2014. This line item reflects the current exercise price of such warrants resulting from anti-dilution adjustments made pursuant to the Second Omnibus Amendment triggered by the Private Placement, on a post reverse stock split basis,. F2 · price: The reported securities are included within 200,000 units sold to the Reporting Person for $5.00 per unit upon the automatic conversion of the $1,000,000 principal balance of the 12% Second-Priority Secured Non-Convertible Promissory Note Due 2019 dated as of March 25, 2014 ("2019 Note") issued to and held by the Reporting Person, as amended by that certain Omnibus Amendment dated as of June 30, 2016 and that certain Second Omnibus Amendment dated as of August 31, 2016 (the "Second Omnibus Amendment"). Each unit consists of one share of common stock and one warrant to purchase 0.90 share of common stock. F4 · derivative.exercise_date: The shares subject to this warrant are immediately exercisable. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.