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ClearPoint Neuro (NASDAQ: CLPT) CEO option exercise and sale filed

Filing Impact
(High)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

ClearPoint Neuro, Inc. CEO and President Joseph Burnett reported option exercises and a stock sale. On 01/09/2026 he exercised 20,000 stock options with a $2.50 exercise price, receiving 20,000 shares of common stock, and on the same day sold 20,000 common shares at a weighted average price of $16.12 per share under a Rule 10b5-1 trading plan adopted on June 11, 2025. After these transactions, he directly holds 11,565 common shares and 330,000 stock options, and indirectly holds 217,059 common shares through the Joseph M. Burnett Trust dated 10/20/2022.

Positive

  • None.

Negative

  • None.
Insider BURNETT JOSEPH
Role CEO and President
Sold 20,000 shs ($322K)
Type Security Shares Price Value
Exercise Stock Options (right to buy) 20,000 $0.00 --
Exercise Common Stock 20,000 $2.50 $50K
Sale Common Stock 20,000 $16.12 $322K
holding Common Stock -- -- --
Holdings After Transaction: Stock Options (right to buy) — 330,000 shares (Direct); Common Stock — 31,565 shares (Direct); Common Stock — 217,059 shares (Indirect, See Footnote)
Footnotes (1)
  1. The options exercised and sales reported on this Form 4 were made pursuant to a written trading plan adopted by the Reporting Person on June 11, 2025 in accordance with Rule 10b5-1. Represents a weighted average sales price per share. The shares were sold at prices ranging from $15.88 to $16.43. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range. These shares are owned directly by the Joseph M. Burnett Trust dated 10/20/2022 and indirectly by Joseph M. Burnett as trustee of the trust. The shares subject to this option vest as follows: (i) one-third of the total shares on the first anniversary of the grant date; and (ii) the remaining two-thirds of the total shares ratably on a quarterly basis over the 2-year period immediately following the first anniversary of the grant date. The grant date is November 7, 2017.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
X
 Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
BURNETT JOSEPH
(Last) (First) (Middle)
C/O CLEARPOINT NEURO, INC.
120 S. SIERRA AVE., SUITE 100
(Street)
SOLANA BEACH CA 92075
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
ClearPoint Neuro, Inc. [ CLPT ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
CEO and President
3. Date of Earliest Transaction (Month/Day/Year)
01/09/2026
4. If Amendment, Date of Original Filed (Month/Day/Year)
 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. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction 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 01/09/2026 M(1) 20,000 A $2.5 31,565 D
Common Stock 01/09/2026 S(1) 20,000 D $16.12(2) 11,565 D
Common Stock 217,059 I See Footnote(3)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction 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 (Month/Day/Year) 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: 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
Stock Options (right to buy) $2.5 01/09/2026 M(1) 20,000 (4) 11/07/2027 Common Stock 20,000 $0 330,000 D
Explanation of Responses:
1. The options exercised and sales reported on this Form 4 were made pursuant to a written trading plan adopted by the Reporting Person on June 11, 2025 in accordance with Rule 10b5-1.
2. Represents a weighted average sales price per share. The shares were sold at prices ranging from $15.88 to $16.43. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
3. These shares are owned directly by the Joseph M. Burnett Trust dated 10/20/2022 and indirectly by Joseph M. Burnett as trustee of the trust.
4. The shares subject to this option vest as follows: (i) one-third of the total shares on the first anniversary of the grant date; and (ii) the remaining two-thirds of the total shares ratably on a quarterly basis over the 2-year period immediately following the first anniversary of the grant date. The grant date is November 7, 2017.
/s/ Danilo D'Alessandro, by Power of Attorney for Joseph M. Burnett 01/13/2026
** 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 4 (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.

Source: View Original Filing on SEC EDGAR

FAQ

What did ClearPoint Neuro (CLPT) CEO Joseph Burnett report in this Form 4?

Joseph Burnett reported exercising 20,000 stock options at an exercise price of $2.50 and selling 20,000 shares of ClearPoint Neuro, Inc. common stock on 01/09/2026.

At what price were the ClearPoint Neuro (CLPT) shares sold in the reported transaction?

The 20,000 common shares were sold at a weighted average price of $16.12 per share, with individual sale prices ranging from $15.88 to $16.43.

Was the ClearPoint Neuro (CLPT) insider transaction under a Rule 10b5-1 plan?

Yes. The options exercise and stock sale were made under a written trading plan adopted on June 11, 2025 in accordance with Rule 10b5-1.

How many ClearPoint Neuro (CLPT) shares does Joseph Burnett hold directly after the transaction?

After the reported transactions, Joseph Burnett directly owns 11,565 shares of ClearPoint Neuro, Inc. common stock and 330,000 stock options.

What indirect ClearPoint Neuro (CLPT) holdings are reported for Joseph Burnett?

The filing reports 217,059 common shares held indirectly through the Joseph M. Burnett Trust dated 10/20/2022, with Burnett as trustee.

What role does Joseph Burnett have at ClearPoint Neuro (CLPT)?

Joseph Burnett is reported as a Director and as an Officer, serving as CEO and President of ClearPoint Neuro, Inc.