Statement of Changes in Beneficial Ownership (4)
February 03 2021 - 10:53AM
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
ANDREEFF DANE |
2. Issuer Name and Ticker or Trading Symbol
HELIUS MEDICAL TECHNOLOGIES, INC.
[
HSDT
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Interim President and CEO |
(Last)
(First)
(Middle)
C/O HELIUS MEDICAL TECHNOLOGIES INC., 642 NEWTOWN YARDLEY ROAD SUITE 100 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/1/2021 |
(Street)
NEWTOWN, PA 18940
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock | 2/1/2021 | | A | | 6468 | A | $14.81 | 47054 | I | See footnote (1) |
Common Stock | 2/1/2021 | | A | | 2900 | A | $14.81 | 11498 | I | See footnote (2) |
Common Stock | 2/1/2021 | | A | | 5700 | A | $14.81 | 29009 | I | See footnote (3) |
Common Stock | 2/1/2021 | | A | | 1800 | A | $14.81 | 3484 | I | See footnote (4) |
Common Stock | | | | | | | | 571 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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 |
Warrant (Right to Buy) | $16.302 | 2/1/2021 | | A | | 3234 | | (5) | 2/1/2026 | Common Stock | 3234 | $0.01 | 3234 | I | See footnote (1) |
Warrant (Right to Buy) | $16.302 | 2/1/2021 | | A | | 1450 | | (5) | 2/1/2026 | Common Stock | 1450 | $0.01 | 1450 | I | See footnote (2) |
Warrant (Right to Buy) | $16.302 | 2/1/2021 | | A | | 2850 | | (5) | 2/1/2026 | Common Stock | 2850 | $0.01 | 2850 | I | See footnote (3) |
Warrant (Right to Buy) | $16.302 | 2/1/2021 | | A | | 900 | | (5) | 2/1/2026 | Common Stock | 900 | $0.01 | 900 | I | See footnote (4) |
Explanation of Responses: |
(1) | The shares and warrants are held by Maple Leaf Partners, L.P. ("MLP"). The reporting person is the managing member of Maple Leaf Capital I, LLC ("Maple Leaf Capital"), the general partner of MLP and as such may be deemed to beneficially own the securities owned by MLP. The reporting person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes. |
(2) | The shares and warrants are held by Maple Leaf Partners I, L.P. ("MLP I"). The reporting person is the managing member of Maple Leaf Capital, the general partner of MLP I and as such may be deemed to beneficially own the securities held by MLP I. The reporting person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes. |
(3) | The shares and warrants are held by Maple Leaf Discovery I, L.P. ("MLD I"). The reporting person is the managing member of Maple Leaf Capital, the general partner of MLD I and as such may be deemed to beneficially own the securities held by MLD I. The reporting person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes. |
(4) | The shares and warrants are held by Maple Leaf Offshore Ltd. ("MLO"). The reporting person is the president of the managing member of Andreeff Equity Advisors, L.L.C., the investment manager of MLO and as such may be deemed to beneficially own the securities held by MLO. The reporting person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes. |
(5) | Immediately exercisable. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
ANDREEFF DANE C/O HELIUS MEDICAL TECHNOLOGIES INC. 642 NEWTOWN YARDLEY ROAD SUITE 100 NEWTOWN, PA 18940 | X |
| Interim President and CEO |
|
Signatures
|
/s/ Dane C. Andreeff | | 2/3/2021 |
**Signature of Reporting Person | Date |
Helius Medical Technolog... (NASDAQ:HSDT)
Historical Stock Chart
From Aug 2024 to Sep 2024
Helius Medical Technolog... (NASDAQ:HSDT)
Historical Stock Chart
From Sep 2023 to Sep 2024