New insider Francis, John P. claimed ownership of 2,611 shares (SEC Form 3)
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Medical/Dental Instruments
Health Care
| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 01/02/2024 |
3. Issuer Name and Ticker or Trading Symbol
Catheter Precision, Inc. [ VTAK ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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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 | 2,575 | D | |
| Common Stock | 36 | I | By Spouse |
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: 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 | ||||
| Series X Convertible Preferred Stock | (1) | (2) | Common Stock | 11,481 | (3) | D | |
| Warrants (Right to Buy) | 05/22/2020 | 05/22/2025 | Common Stock | 177 | $562.5 | I | See Footnote 4(4) |
| Warrants (Right to Buy) | 08/03/2020 | 08/03/2025 | Common Stock | 1,371 | $437.5 | I | See footnote 4(4) |
| Explanation of Responses: |
| 1. Security is convertible no earlier than July 9, 2024, subject to satisfaction of specified conditions. |
| 2. Security has no expiration date. |
| 3. Security converts at a rate of 1000 shares of common stock per preferred share. Security has no conversion price. |
| 4. Securities are owned by Catalysis Partners, LLC ("CP"). The reporting person has an investment interest in CP and, together with his spouse, owns a controlling interest in Francis Capital Management, LLC, which also has an investment interest in CP and serves as both its Managing Member and Investment Manager. |
| /s/ John P. Francis | 01/05/2024 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||