Statement of Changes in Beneficial Ownership (4)
February 05 2021 - 5:19PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Harper Gregory |
2. Issuer Name and Ticker or Trading Symbol
Neuronetics, Inc.
[
STIM
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) VP of Prod. Dev. & Operations |
(Last)
(First)
(Middle)
C/O NEURONETICS, INC., 3222 PHEONIXVILLE PIKE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/3/2021 |
(Street)
MALVERN, PA 19355
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 2/3/2021 | | A | | 17085 (1) | A | $0 (2) | 168078 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Performance Restricted Stock Unit | (3) | 2/3/2021 | | A | | 15000 | | (3) | (3) | Common Stock | 15000 | $0 | 15000 | D | |
Explanation of Responses: |
(1) | Represents a restricted stock unit ("RSU") award that vests in three equal annual installments beginning on February 3, 2022, in each case subject to continuous service of the Reporting Person through such date. |
(2) | Each RSU represents a contingent right to receive one share of the Issuer's common stock. |
(3) | Each performance restricted stock unit ("PRSU") represents a contingent right to receive one share of the Issuer's common stock. The PRSU rights vest upon the Issuer's common stock achieving a
30 day volume weighted average price of $25 per share. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Harper Gregory C/O NEURONETICS, INC. 3222 PHEONIXVILLE PIKE MALVERN, PA 19355 |
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| VP of Prod. Dev. & Operations |
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Signatures
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/s/ W. Andrew Macan as Attorney-in-Fact for Gregory Harper | | 2/5/2021 |
**Signature of Reporting Person | Date |
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