UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (Right to Buy) | (2) | 08/20/2031 | Common Stock | 5,875 | $ 16.71 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
STIGALL L. JEREMY C/O CLEARPOINT NEURO, INC. 120 S. SIERRA AVE., SUITE 100 SOLANA BEACH, CA 92075 |
GM, Biologics & Drug Delivery |
/s/ Richard F. Mattern by Power of Attorney for Jeremy L. Stigall | 05/19/2022 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Includes 22,563 shares of restricted stock, 19,274 shares of which are unvested as of the date of this filing. |
(2) | The option agreement provides that the option becomes exercisable twenty percent (20%) on the first anniversary of the option's grant date with the remaining eighty percent (80%) becoming exercisable in two equal annual installments on the second and third anniversaries, respectively, of the option's grant date. The option was granted on August 20, 2021. |
Remarks: Power of Attorney is attached to this Form 3 as Exhibit 24. |