# EDGAR Filing Document

**Accession Number:** 0001779372
**File Stem:** 0001779372-23-000005
**Filing Date:** 2023-3
**Character Count:** 10014
**Document Hash:** 72934d591a66d1da529dfd45c2034a18
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001779372-23-000005.hdr.sgml**: 20230308

**ACCESSION NUMBER**: 0001779372-23-000005

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 15

**CONFORMED PERIOD OF REPORT**: 20230308

**ITEM INFORMATION**: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20230308

**DATE AS OF CHANGE**: 20230308

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** HeartBeam, Inc.
- **CENTRAL INDEX KEY:** 0001779372
- **STANDARD INDUSTRIAL CLASSIFICATION:** SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841]
- **IRS NUMBER:** 474881450
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-41060
- **FILM NUMBER:** 23714969

**BUSINESS ADDRESS:**
- **STREET 1:** 2118 WALSH AVE., SUITE 210
- **CITY:** SANTA CLARA
- **STATE:** CA
- **ZIP:** 95050
- **BUSINESS PHONE:** 408-899-4443

**MAIL ADDRESS:**
- **STREET 1:** 2118 WALSH AVE., SUITE 210
- **CITY:** SANTA CLARA
- **STATE:** CA
- **ZIP:** 95050

?xml version="1.0" ? beat-20230308

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

**FORM 8-K**

CURRENT REPORT

**Pursuant to Section 13 or 15(d) of the Securities and Exchange Act of 1934**

**Date of Report (Date of earliest event reported): March 8, 2023**

**<u>HEARTBEAM, INC.</u>**

(Exact name of Registrant as specified in its charter)

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| | | |
|:---|:---|:---|
| Delaware | 001-41060 | 47-4881450 |
| **(State or other jurisdiction**<br>**of incorporation)** | **(Commission**<br>**File Number)** | **(IRS Employer**<br>**Identification No.)** |

---

**<u>2118 Walsh Avenue, Suite 210</u>**

**<u>Santa Clara, CA 95050</u>**

**(Address of principal executive offices, including zip code)**

**<u>(408) 899-4443</u>**

**(Registrant's telephone number, including area code)**

Check the appropriate box below if the 8-K filing is intended to simultaneously satisfy the filing obligations of the registrant under any of the following provisions:

☐ Written communication pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)).

Securities registered pursuant to Section 12(b) of the Act:

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| | | |
|:---|:---|:---|
| **Title of each class** | **Trading Symbol(s)** | **Name of each exchange on which registered** |
| Common Stock | BEAT | NASDAQ |
| Warrant | BEATW | NASDAQ |

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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).

Emerging growth company ☒

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

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**Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.**

*Departure of Jon Hunt*

Effective March 15, 2023, Jon Hunt, Ph.D. will resign from his position as Chief Business Officer of HeartBeam, Inc. (the "<u>Company</u>" or "<u>HeartBeam</u>") and transition (the "<u>Transition</u>") to a new non-officer position as a Consultant effective as of March 16, 2023. Dr. Hunt's Transition from Chief Business Officer to Consultant was not due to any disagreement with the Company or its Board of Directors or any matter relating to the Company's operations, policies or practices.

**Item 9.01. Exhibits.**

(d) Exhibits*.*

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| | |
|:---|:---|
| **Exhibit**<br>**Number** | **Description** |
| 99.1 | <u>[Press Release](exhibit991-03082023.htm)[dated March 8, 2023,](exhibit991-03082023.htm)[HeartBeam Announces Senior Leadership Change](exhibit991-03082023.htm)</u> |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |

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**SIGNATURES**

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, hereunto duly authorized.

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| | | |
|:---|:---|:---|
| | **<u>HeartBeam, Inc.</u>** | **<u>HeartBeam, Inc.</u>** |
| Date: March 8, 2023 | By: | */s/ Richard Brounstein* |
|  | Name: | Richard Brounstein |
|  | Title: | Chief Financial Officer |

---

## Exhibit 99.1

Exhibit 99.1

![imagea.jpg](imagea.jpg)

**HeartBeam Announces Senior Leadership Change** 

*Robert Eno Assumes Duties of Chief Business Officer*

*Jon Hunt to Remain Strategic Advisor & Consultant to HeartBeam*

**SANTA CLARA, CA – March 8, 2023 – HeartBeam, Inc.** (NASDAQ: BEAT), a cardiac technology company that has developed the first and only 3D-vector electrocardiogram (VECG) platform for heart attack detection anytime, anywhere, has announced a senior leadership change ahead of key milestones in 2023 including FDA clearance for the HeartBeam AIMI™ system and FDA submission of the HeartBeam AIMIGo™ 3D vector ECG first generation product. HeartBeam President Robert Eno will be assuming the duties and responsibilities of Executive Vice President and Chief Business Officer Jon Hunt, Ph.D., who will be stepping down from his current position and transitioning to the role of strategic advisor and consultant for the Company, effective March 15, 2023.

During his tenure, Dr. Hunt has made significant contributions to HeartBeam's business efforts, leading numerous initiatives and introductions with partner manufacturing and technology companies and health systems providers.

"Jon has made numerous critical contributions to HeartBeam by leading our planning efforts for market introductions of our products," said Branislav Vajdic, Ph.D., HeartBeam CEO and Founder. "We understand his desire for a change of pace and a better work-life-balance, and we are excited that Jon will, as a key consultant, stay close to our strategic discussions and decisions. His dedication and commitment to HeartBeam have been greatly appreciated, and he will be missed in his current role. On behalf of the entire team at HeartBeam, we thank Jon for his outstanding service and leadership, and look forward to his expertise and insights in a consultancy role."

Dr. Hunt added, "It has been a privilege to serve as CBO of HeartBeam, and I am incredibly proud of the rapid pace of our product timeline and our team's ability to scale our commercialization path. After almost four decades in the cardiovascular medical device industry, I want to spend more time focusing on my family in the UK and US. I look forward to continuing to work with the team as a consultant, focusing on business strategy as the Company brings this breakthrough technology to market for high-risk cardiac patients."

**About HeartBeam, Inc.**

HeartBeam, Inc. (NASDAQ: BEAT) is a cardiac technology company that has developed the first and only 3D-vector ECG platform for heart attack detection anytime, anywhere. By applying a suite of proprietary algorithms to simplify vector electrocardiography (VECG), the HeartBeam platform enables patients and their clinicians to determine if symptoms are due to a heart attack, quickly and easily, so care can be expedited, if required. HeartBeam has two patented products in development. HeartBeam AIMI™ is

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software for acute care settings that provides a 3D comparison of baseline and symptomatic 12-lead ECG to more accurately identify a heart attack. HeartBeam AIMIGo™ is the first and only credit card-sized 12-lead output ECG device coupled with a smart phone app and cloud-based diagnostic software system to facilitate remote heart attack detection. HeartBeam AIMI and AIMIGo have not yet been cleared by the US Food and Drug Administration (FDA) for marketing in the USA or other geographies. For more information, visit <u>HeartBeam.com</u>.

**Forward-Looking Statements**

All statements in this release that are not based on historical fact are "forward-looking statements." While management has based any forward-looking statements included in this release on its current expectations, the information on which such expectations were based may change. Forward-looking statements involve inherent risks and uncertainties which could cause actual results to differ materially from those in the forward-looking statements, as a result of various factors including those risks and uncertainties described in the Risk Factors and in Management's Discussion and Analysis of Financial Condition and Results of Operations sections of our in our Forms 10-K, 10-Q and other reports filed with the SEC and available at <u>www.sec.gov</u>. We urge you to consider those risks and uncertainties in evaluating our forward-looking statements. We caution readers not to place undue reliance upon any such forward-looking statements, which speak only as of the date made. Except as otherwise required by the federal securities laws, we disclaim any obligation or undertaking to publicly release any updates or revisions to any forward-looking statement contained herein (or elsewhere) to reflect any change in our expectations with regard thereto or any change in events, conditions or circumstances on which any such statement is based.

**Investor Relations Contact:**<br>Chris Tyson <br>Executive Vice President<br>MZ North America<br>Direct: 949-491-8235<br><u>BEAT@mzgroup.us</u><br><u>www.mzgroup.us</u>

**Media Contact:**<br> <u>media@heartbeam.com</u>

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