3//SEC Filing
HILZ MARK T 3
Accession 0000899243-22-025275
CIK 0001468492other
Filed
Jul 5, 8:00 PM ET
Accepted
Jul 6, 1:40 PM ET
Size
26.8 KB
Accession
0000899243-22-025275
Insider Transaction Report
Form 3
HILZ MARK T
DirectorSee Remarks
Holdings
Warrants
Exercise: $2.89From: 2021-11-17Exp: 2026-10-12→ Common Stock (30 underlying)Warrants
Exercise: $3.47From: 2013-08-23Exp: 2023-08-23→ Common Stock (644 underlying)Employee Stock Option (Right to Buy)
Exercise: $12.21Exp: 2026-05-01→ Common Stock (18,939 underlying)Employee Stock Option (Right to Buy)
Exercise: $15.18Exp: 2028-11-01→ Common Stock (7,576 underlying)Employee Stock Option (Right to Buy)
Exercise: $1.29Exp: 2029-09-01→ Common Stock (22,727 underlying)Employee Stock Option (Right to Buy)
Exercise: $1.29Exp: 2030-11-06→ Common Stock (26,515 underlying)Employee Stock Option (Right to Buy)
Exercise: $12.21Exp: 2026-05-01→ Common Stock (3,788 underlying)Employee Stock Option (Right to Buy)
Exercise: $15.18Exp: 2028-03-14→ Common Stock (7,576 underlying)Employee Stock Option (Right to Buy)
Exercise: $3.47Exp: 2032-03-01→ Common Stock (26,515 underlying)Warrants
Exercise: $3.47From: 2013-06-28Exp: 2023-06-28→ Common Stock (379 underlying)Employee Stock Option (Right to Buy)
Exercise: $15.18Exp: 2028-03-14→ Common Stock (7,576 underlying)Employee Stock Option (Right to Buy)
Exercise: $15.18Exp: 2028-03-14→ Common Stock (7,576 underlying)Employee Stock Option (Right to Buy)
Exercise: $1.29Exp: 2030-11-06→ Common Stock (26,515 underlying)Employee Stock Option (Right to Buy)
Exercise: $3.47Exp: 2032-03-01→ Common Stock (26,515 underlying)- 441,522
Common Stock
Series C Convertible Preferred Stock
Exercise: $6.59→ Common Stock (7,894 underlying)Employee Stock Option (Right to Buy)
Exercise: $15.18Exp: 2028-11-01→ Common Stock (7,576 underlying)Employee Stock Option (Right to Buy)
Exercise: $15.18Exp: 2028-11-01→ Common Stock (7,576 underlying)- 4,040(indirect: By Daughter)
Common Stock
Employee Stock Option (Right to Buy)
Exercise: $1.29Exp: 2029-09-01→ Common Stock (30,303 underlying)
Footnotes (15)
- [F1]The Convertible Preferred Stock may be converted at any time, at the Holder's election and there is no expiration. The conversion ratio is 3.7954 shares of Common Stock for each share of Series C Preferred Stock.
- [F10]The option becomes fully-vested and may be exercised at any time at Holder's election upon the achievement of performance-based criteria related to approval by the U.S. Food and Drug Administration of certain of the Company's products. As of the date of this filing, the performance-based criteria have not been satisfied.
- [F11]The entire option has become fully-vested and may be exercised at any time at the Holder's election.
- [F12]The option becomes fully-vested and may be exercised at any time at Holder's election upon the achievement of performance-based criteria related to approval by the U.S. Food and Drug Administration of certain of the Company's products. As of the date of this filing, the performance-based criteria have not been satisfied.
- [F13]The option becomes fully-vested and may be exercised at any time at Holder's election upon the receipt of at least $15 million pursuant to the Company's sale of debt or equity securities or borrowings from any debt financing source. As of the date of this filing, the performance-based criteria have not been satisfied.
- [F14]The entire option has become fully-vested and may be exercised at any time at the Holder's election.
- [F15]The option becomes fully-vested and may be exercised at any time at Holder's election upon the achievement of performance-based criteria related to approval by the U.S. Food and Drug Administration of certain of the Company's products. As of the date of this filing, the performance-based criteria have not been satisfied.
- [F2]The entire option has become fully-vested and may be exercised at any time at the Holder's election.
- [F3]The option becomes fully-vested and may be exercised at any time at Holder's election upon the achievement of performance-based criteria related to approval by the U.S. Food and Drug Administration of certain of the Company's products. As of the date of this filing, the performance-based criteria have not been satisfied.
- [F4]The option becomes fully-vested and may be exercised at any time at Holder's election upon the achievement of performance-based criteria related to approval by the U.S. Food and Drug Administration of certain of the Company's products. As of the date of this filing, the performance-based criteria have not been satisfied.
- [F5]The option becomes fully-vested and may be exercised at any time at Holder's election upon the Company having one calendar quarter of positive EBITDA. As of the date of this filing, the performance-based criteria have not been satisfied.
- [F6]The option becomes fully-vested and may be exercised at any time at Holder's election upon the sale of a specified number of units of certain of the Company's products. As of the date of this filing, the performance-based criteria have not been satisfied.
- [F7]The option becomes fully-vested and may be exercised at any time at Holder's election upon the achievement of performance-based criteria related to approval by the U.S. Food and Drug Administration of certain of the Company's products. As of the date of this filing, the performance-based criteria have not been satisfied.
- [F8]The option becomes fully-vested and may be exercised at any time at Holder's election upon the Company having one calendar quarter of positive EBITDA. As of the date of this filing, the performance-based criteria have not been satisfied.
- [F9]The option becomes fully-vested and may be exercised at any time at Holder's election upon the sale of a specified number of units of certain of the Company's products. As of the date of this filing, the performance-based criteria have not been satisfied.
Documents
Issuer
Heart Test Laboratories, Inc.
CIK 0001468492
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001016157
Filing Metadata
- Form type
- 3
- Filed
- Jul 5, 8:00 PM ET
- Accepted
- Jul 6, 1:40 PM ET
- Size
- 26.8 KB