4//SEC Filing
MRI INTERVENTIONS, INC. 4
Accession 0001534424-16-001013
$CLPTCIK 0001285550operating
Filed
Sep 6, 8:00 PM ET
Accepted
Sep 7, 6:39 PM ET
Size
28.4 KB
Accession
0001534424-16-001013
Insider Transaction Report
Form 4
Rooke Andrew K.
Director10% Owner
Transactions
- Purchase
Warrants(5) (right to buy)
2014-03-25+7,500→ 7,500 total(indirect: By Trust)Exercise: $5.50From: 2014-03-25Exp: 2019-03-25→ Common Stock (7,500 underlying) - Purchase
Common Stock
2016-09-02+10,000→ 10,000 total(indirect: By Trust) - Conversion
2009 Note
2016-09-02$5.00/sh→ 0 total(indirect: By Trust)Exercise: $5.00→ Unit - Purchase
Warrants (right to buy)
2016-09-02+9,000→ 9,000 total(indirect: By Trust)Exercise: $5.50From: 2016-09-02Exp: 2021-09-02→ Common Stock (9,000 underlying) - Conversion
Warrants (right to buy)
2016-09-02+180,000→ 180,000 total(indirect: By Trust)Exercise: $5.50From: 2016-09-02Exp: 2021-09-02→ Common Stock (180,000 underlying) - Conversion
Common Stock
2016-09-02+200,000→ 210,000 total(indirect: By Trust)
Holdings
- 4,658(indirect: By Trust)
Common Stock
- 2,602(indirect: By Trust)
Common Stock
- 11,628(indirect: By Foundation)
Common Stock
- 51,455(indirect: By Rooke Fiduciary Management)
Common Stock
- 4,658(indirect: By Trust)
Common Stock
- 2,602(indirect: By Trust)
Common Stock
- 12,500(indirect: By LLC)
Common Stock
- 255,439
Common Stock
- 4,658(indirect: By Trust)
Common Stock
- 4,658(indirect: By Trust)
Common Stock
- 2,602(indirect: By Trust)
Common Stock
- 2,602(indirect: By Trust)
Common Stock
- 2,602(indirect: By Trust)
Common Stock
- 2,602(indirect: By Trust)
Common Stock
- 2,602(indirect: By Trust)
Common Stock
- 2,602(indirect: By Trust)
Common Stock
Footnotes (5)
- [F1]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.
- [F2]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.
- [F3]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.
- [F4]The shares subject to this warrant are immediately exercisable.
- [F5]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,.
Documents
Issuer
MRI INTERVENTIONS, INC.
CIK 0001285550
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001285550
Filing Metadata
- Form type
- 4
- Filed
- Sep 6, 8:00 PM ET
- Accepted
- Sep 7, 6:39 PM ET
- Size
- 28.4 KB