NeuroPace CFO has 1,162 shares withheld for taxes

NeuroPace’s CFO had shares withheld to cover taxes on RSU vesting, leaving over 67,000 shares directly owned.

Available on EDGAR 09/21/2026 - 04:56 PM EDT Accepted by SEC EDGAR 09/21/2026 - 04:56 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

NeuroPace Inc (NPCE) reported that Chief Financial Officer Patrick F. Williams had 1,162 shares of common stock withheld on September 20, 2026 to satisfy tax withholding obligations upon the vesting of a restricted stock unit award. This code F transaction was not an open-market sale, and 67,508 shares of common stock remained held directly afterward.

Insider Trade Summary

Tax Withholding: 1,162 shares

Tax Withholding 1 txn

Insider Williams Patrick F.

Role Chief Financial Officer

Type	Security	Shares	Price	Value
Tax Withholding	Common Stock F1	1,162	$14.28	$17K

Holdings After Transaction: Common Stock — 67,508 shares (Direct)

Footnotes (1)

1. F1. Represents the number of shares withheld by the Issuer on September 20, 2026 to satisfy tax withholding obligations in connection with the vesting of a restricted stock unit award.

Key Figures

Shares withheld for taxes: 1,162 shares Price per share for tax withholding: $14.28 per share Shares held after transaction: 67,508 shares

3 metrics

Shares withheld for taxes 1,162 shares Common stock withheld on September 20, 2026 to satisfy tax withholding obligations on RSU vesting

Price per share for tax withholding $14.28 per share Value applied to the 1,162 withheld shares in the tax withholding transaction

Shares held after transaction 67,508 shares NeuroPace common stock directly owned by the CFO following the September 20, 2026 transaction

Key Terms

restricted stock unit award, tax withholding obligations, withheld by the Issuer

3 terms

restricted stock unit award financial

"in connection with the vesting of a restricted stock unit award"

A restricted stock unit award is a promise by a company to give an employee a specified number of company shares at a future date if certain conditions are met, such as staying with the company or hitting performance goals. For investors, these awards matter because they can increase the total number of shares outstanding when converted, diluting existing holders, and they align employees’ incentives with shareholders’ interests much like giving a rising bonus that becomes real only after conditions are satisfied.

tax withholding obligations financial

"to satisfy tax withholding obligations in connection with the vesting"

withheld by the Issuer financial

"Represents the number of shares withheld by the Issuer"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transaction did NeuroPace (NPCE) report for its CFO on September 20, 2026?

NeuroPace reported that CFO Patrick F. Williams had 1,162 shares of common stock withheld on September 20, 2026 to cover tax withholding obligations related to a vesting restricted stock unit award.

Was the September 20, 2026 NPCE Form 4 transaction an open-market sale?

No. The filing describes the transaction as a payment of tax liability by delivering or withholding securities in connection with RSU vesting, indicating it was not an open-market sale but a tax withholding event.

How many NeuroPace (NPCE) shares were withheld for taxes in the CFO’s Form 4?

The Form 4 shows that 1,162 shares of NeuroPace common stock were withheld by the issuer to satisfy the CFO’s tax withholding obligations arising from the vesting of a restricted stock unit award.

What is the CFO’s direct NeuroPace (NPCE) shareholding after this Form 4 transaction?

After the tax withholding transaction, CFO Patrick F. Williams directly held 67,508 shares of NeuroPace common stock, as reported in the Form 4’s post-transaction holdings field.

What price per share is associated with the NPCE tax withholding transaction?

The Form 4 reports a value of $14.28 per share for the 1,162 shares withheld to satisfy tax obligations related to the vesting restricted stock unit award.

Was the NeuroPace (NPCE) CFO’s transaction under a Rule 10b5-1 trading plan?

No. The Form 4 indicates that the Rule 10b5-1 checkbox is not affirmed, and there is no footnote stating the use of a 10b5-1 trading plan for this tax withholding transaction.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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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).

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^*

Williams Patrick F.

(Last) (First) (Middle)

C/O NEUROPACE, INC.

455 N. BERNARDO AVENUE

(Street)

MOUNTAIN VIEW CALIFORNIA 94043

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
NeuroPace Inc [ NPCE ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Financial Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/20/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

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	09/20/2026		F		1,162(1)	D	$14.28(1)	67,508	D

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

Explanation of Responses:

1. Represents the number of shares withheld by the Issuer on September 20, 2026 to satisfy tax withholding obligations in connection with the vesting of a restricted stock unit award.

Remarks:

	/s/ Leah Akin, Attorney-in-Fact	09/21/2026
	** 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.
* Form 4: SEC 1474 (03-26)