Filing Details
- Accession Number:
- 0001534424-15-000458
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-12-21 16:52:16
- Reporting Period:
- 2015-12-18
- Filing Date:
- 2015-12-21
- Accepted Time:
- 2015-12-21 16:52:16
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1285550 | Mri Interventions Inc. | MRIC | Surgical & Medical Instruments & Apparatus (3841) | 582394628 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1540174 | K. Andrew Rooke | C/O Mri Interventions, Inc. 5 Musick Irvine, CA 92618 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2015-12-18 | 154,035 | $0.00 | 465,117 | No | 4 | P | Indirect | By Withington Foundation |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By Withington Foundation |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series A Warrants (right to buy) | Acquisiton | 2015-12-18 | 61,614 | $0.00 | 61,614 | $0.41 |
| Common Stock | Series B Warrants (right to buy) | Acquisiton | 2015-12-18 | 46,211 | $0.00 | 46,211 | $0.53 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 61,614 | 2015-12-18 | 2020-12-18 | No | 4 | P | Indirect |
| 46,211 | 2015-12-18 | 2020-12-18 | No | 4 | P | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 974,969 | Direct | |
| Common Stock | 186,304 | Indirect | By trust |
| Common Stock | 186,304 | Indirect | By trust |
| Common Stock | 186,304 | Indirect | By trust |
| Common Stock | 186,304 | Indirect | By trust |
| Common Stock | 104,077 | Indirect | By trust |
| Common Stock | 104,077 | Indirect | By trust |
| Common Stock | 104,077 | Indirect | By trust |
| Common Stock | 104,077 | Indirect | By trust |
| Common Stock | 104,077 | Indirect | By trust |
| Common Stock | 104,077 | Indirect | By trust |
| Common Stock | 104,077 | Indirect | By trust |
| Common Stock | 104,077 | Indirect | By trust |
| Common Stock | 500,000 | Indirect | By Payne Partners LLC |
| Common Stock | 2,058,207 | Indirect | By Rooke Fiduciary Management |
Footnotes
- The reported securities are included within 154,035 units purchased by the Withington Foundation for $0.3246 per unit. Each unit consists of one share of common stock, one series A warrant to purchase 0.40 share of common stock, and one series B warrant to purchase 0.30 share of common stock. The Reporting Person has voting and investment power over the securities owned by the Withington Foundation.
- The shares subject to this warrant are immediately exercisable.
Billionaire Hedge Funds
