Initial Statement of Beneficial Ownership (3)
June 14 2021 - 5:55PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
*
Topline Capital Management, LLC |
2. Date of Event Requiring Statement (MM/DD/YYYY)
6/9/2021
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3. Issuer Name and Ticker or Trading Symbol
NeuroMetrix, Inc. [NURO]
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(Last)
(First)
(Middle)
544 EUCLID STREET |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner _____ Officer (give title below) ___X___ Other (specify below) / See Explanation in Footnotes |
(Street)
SANTA MONICA, CA 90402
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 542240 | I (1)(2) | By Topline Capital Partners, LP (3) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | The reporting persons are (i) Topline Capital Management, LLC, and exempt reporting adviser ("Topline"), and (ii) Collin McBirney, Topline's managing member. |
(2) | Each reporting person may be deemed to beneficially own more than 10% of the issuer's outstanding shares of Common Stock. Each reporting person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any reporting person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose. |
(3) | 542,240 shares of Common Stock reported in Table I on this Form 3 are beneficially owned by Topline Capital Partners, LP, Delaware limited partnership (the "Fund"). As a greater than 10% beneficial owner, the Fund is separately reporting its holdings in the issuer's securities on a Form 3 filed concurrently herewith. Topline, as the investment manager and general partner of the Fund, may be deemed to be the beneficial owner of the shares of Common Stock beneficially owned by the Fund. Mr. McBirney, as the managing member of Topline, may be deemed to be the beneficial owner of the shares of Common Stock beneficially owned by the Fund. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Topline Capital Management, LLC 544 EUCLID STREET SANTA MONICA, CA 90402 |
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| See Explanation in Footnotes |
McBirney Collin 544 EUCLID STREET SANTA MONICA, CA 90402 |
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| See Explanation in Footnotes |
Signatures
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Topline Capital Management, LLC,By: Collin McBirney, its Managing Member | | 6/14/2021 |
**Signature of Reporting Person | Date |
Collin McBirney | | 6/14/2021 |
**Signature of Reporting Person | Date |
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