Brounstein Richard D's Form 4 filing
HeartBeam, Inc. (BEAT) · filed Nov 15, 2021
- Accession no.
- 0001213900-21-059716
- Filed
- Nov 15, 2021
- Trade date
- Nov 11, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market purchases total $29.9K. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Brounstein Richard DCIK 0001189694 | Officer (CHIEF FINANCIAL OFFICER) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 11, 2021 | Common Stock | MOption exerciseAcquired | +19,465 | $4.20 | +$81,753 | 82,343 | Indirect | |
| Nov 11, 2021 | Common Stock | MOption exerciseAcquired | +9,732 | $4.20 | +$40,874.4 | 92,075 | Indirect | |
| Nov 11, 2021 | Common Stock | PPurchaseAcquired | +5,000 | $5.99 | +$29,950 | 97,075 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 11, 2021 | Common Stock | AGrant or awardAcquired | +5,000 | $6.00 | +$30,000 | 5,000 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.