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HeartBeam, Inc. — Director's Dealing 2021
Nov 16, 2021
34512_dirs_2021-11-15_71dc59ae-39ea-471e-b4a5-2ba50b056434.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: HeartBeam, Inc. (BEAT)
CIK: 0001779372
Period of Report: 2021-11-11
Reporting Person: BROUNSTEIN RICHARD D (CHIEF FINANCIAL OFFICER)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-11-11 | Common Stock | M | 19465 | $4.20 | Acquired | 82343 | Indirect |
| 2021-11-11 | Common Stock | M | 9732 | $4.20 | Acquired | 92075 | Indirect |
| 2021-11-11 | Common Stock | P | 5000 | $5.99 | Acquired | 97075 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-11-11 | Warrant (right to buy) | $ | A | 5000 | Acquired | 2026-11-11 | Common Stock (5000) | Direct |
Footnotes
F1: Represents shares purchased from conversion of convertible note, principal and interest of $81,753.
F2: The underlying common stock is held by the R and S Brounstein Living Trust, of which the Reporting Person is a Trustee.
F3: Represents shares purchased from conversion of convertible note, principal and interest of $40,874.
F4: The underlying common stock is held by CTRLCFO, LLC, of which the Reporting Person is the Manager.
F5: The underlying warrant granted to the reporting person represents the right to purchase one share of common stock of HeartBeam, Inc.