AWM Investment Company, Inc. - Sep 29, 2021 Form 3 Insider Report for Assure Holdings Corp. (IONM)

Role
10%+ Owner
Signature
Adam Stettner
Stock symbol
IONM
Transactions as of
Sep 29, 2021
Transactions value $
$0
Form type
3
Date filed
10/5/2021, 05:11 PM
Previous filing
Sep 10, 2021
Next filing
Oct 12, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding IONM Common Stock 1.56M Sep 29, 2021 By Limited Partnerships F1, F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding IONM Warrants Sep 29, 2021 Common Stock 1.56M $3.90 By Limited Partnerships F2, F3, F4, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 AWM Investment Company, Inc., a Delaware Corporation (AWM), is the investment adviser to Special Situations Fund III QP, L.P. (SSFQP), Special Situations Cayman Fund, L.P. (Cay), Special Situations Private Equity Fund, L.P. (SSPE), and Special Situations Life Sciences Fund, L.P., (LS and together with SSFQP, Cay, and SSPE, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 658,134 shares of Common Stock of the Issuer (the Shares) held by SSFQP, 218,257 Shares held by Cay, 312,500 Shares held by SSPE and 373,608 Shares held by LS.
F2 Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
F3 AWM Investment Company, Inc., a Delaware Corporation (AWM), is the investment adviser to Special Situations Fund III QP, L.P. (SSFQP), Special Situations Cayman Fund, L.P. (Cay), Special Situations Private Equity Fund, L.P. (SSPE), and Special Situations Life Sciences Fund, L.P., (LS and together with SSFQP, Cay, and SSPE, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 3,290,673 Warrants to purchase 658,134 shares of Common Stock held by SSFQP, 1,091,285 Warrants to purchase 218,257 shares of Common Stock held by Cay, 1,562,500 Warrants to purchase 312,500 shares of Common Stock held by SSPE and 1,868,042 Warrants to purchase 373,608 shares of Common Stock held by LS.
F4 The Warrants described herein may only be exercised to the extent that the total number of Common Shares then beneficially owned does not exceed 9.99% of the outstanding shares.
F5 The exercise price of the warrants reflects a 1 for 5 reverse split effective 9/8/2021.