ClearPoint Neuro, Inc. Form D Notices of Exempt Offering of Securities
Notices filed with the SEC for securities sold without registration under Regulation D or Section 4(a)(5), newest first. Values are as filed.
- 2017-06-06: Federal exemption Rule 506(b); Types of securities offered Equity; OptionToAcquire; Date of first sale 2017-05-26; Total offering amount $13,250,000.
- 2016-09-13: Federal exemption Rule 506(b); Types of securities offered Equity; OptionToAcquire; Date of first sale 2016-09-02; Total offering amount $6,005,000.
- 2015-12-21: Federal exemption Rule 506(b); Types of securities offered Equity; OptionToAcquire; SecurityToBeAcquired; Date of first sale 2015-12-18; Total offering amount $5,294,000.
- 2014-12-23: Federal exemption Rule 506(b); Types of securities offered Equity; OptionToAcquire; SecurityToBeAcquired; Date of first sale 2014-12-09; Total offering amount $10,175,550.
| Filed | Federal exemption | Types of securities offered | Date of first sale | Total offering amount | Total amount sold | Total remaining to be sold | Investors who have already invested |
|---|---|---|---|---|---|---|---|
| 2017-06-06 | Rule 506(b) | Equity; OptionToAcquire | 2017-05-26 | $13,250,000 | $13,250,000 | $0 | 60 |
| 2016-09-13 | Rule 506(b) | Equity; OptionToAcquire | 2016-09-02 | $6,005,000 | $6,005,000 | $0 | 24 |
| 2015-12-21 | Rule 506(b) | Equity; OptionToAcquire; SecurityToBeAcquired | 2015-12-18 | $5,294,000 | $5,294,000 | $0 | 57 |
| 2014-12-23 | Rule 506(b) | Equity; OptionToAcquire; SecurityToBeAcquired | 2014-12-09 | $10,175,550 | $10,175,550 | $0 | 74 |
| 2014-04-01 D/A | Rule 506(b) | Debt; OptionToAcquire; SecurityToBeAcquired | 2014-03-25 | $3,725,000 | $3,725,000 | $0 | 10 |
| 2014-03-12 | Rule 506(b) | Debt; OptionToAcquire; SecurityToBeAcquired | Yet to occur | $7,500,000 | $0 | $7,500,000 | 0 |
| 2013-02-07 | Rule 506 | Equity; OptionToAcquire; SecurityToBeAcquired; Units consisting of 1 share of common stock and warrant for 1/2 share of common stock. | 2013-01-25 | $11,042,021 | $11,042,021 | $0 | 47 |
| 2012-07-16 | Rule 506 | Equity; OptionToAcquire; SecurityToBeAcquired; Units consisting of 1 share of common stock and warrant for 1/2 share of common stock. | 2012-07-02 | $6,000,000 | $6,000,000 | $0 | 65 |
| 2011-10-21 | Rule 506 | Debt; OptionToAcquire; SecurityToBeAcquired | 2011-10-14 | $6,000,000 | $150,000 | $5,850,000 | 1 |
| 2011-09-14 D/A | Rule 506 | Debt; OptionToAcquire; SecurityToBeAcquired | 2011-06-30 | $1,400,000 | $1,310,000 | $90,000 | 6 |
| 2011-07-15 | Rule 506 | Debt; OptionToAcquire; SecurityToBeAcquired | 2011-06-30 | $1,150,000 | $500,000 | $650,000 | 2 |
| 2010-10-22 | Rule 506 | Units consisting of (1) a junior secured promissory note, and (2) one share of common stock | Yet to occur | $3,000,000 | $0 | $3,000,000 | 0 |
| 2010-03-04 | Rule 506 | 10% senior unsecured convertible promissory notes | Yet to occur | $4,600,000 | $0 | $4,600,000 | 0 |
| 2009-11-06 | Rule 506 | Convertible promissory note | 2009-10-16 | $4,250,000 | $2,000,000 | $2,250,000 | 1 |
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