# EDGAR Filing Document

**Accession Number:** 0001779372
**File Stem:** 0001779372-23-000002
**Filing Date:** 2023-1
**Character Count:** 5141
**Document Hash:** 297aa5932b8b11ea8e3c9fa7a74219a5
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001779372-23-000002.hdr.sgml**: 20230127

**ACCESSION NUMBER**: 0001779372-23-000002

**CONFORMED SUBMISSION TYPE**: 3

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230118

**FILED AS OF DATE**: 20230127

**DATE AS OF CHANGE**: 20230127

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** ENO Robert Paul
- **CENTRAL INDEX KEY:** 0001963418

**FILING VALUES:**
- **FORM TYPE:** 3
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-41060
- **FILM NUMBER:** 23562752

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

**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

**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

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 3

### INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>ENO Robert Paul<br><sub>(Last) (First) (Middle)</sub><br>2118 WALSH AVENUE, SUITE 210<br><sub>(Street)</sub><br>SANTA CLARA, CA 95050<br><sub>(City) (State) (Zip)</sub> | **3. Issuer Name and Ticker or Trading Symbol**<br>HeartBeam, Inc. [ BEAT ] | **5. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  |
| **2. Date of Event Requiring Statement (Month/Day/Year)**<br>2023-01-18 | **4. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director   [ ] 10% Owner<br>[X] Officer (give title below)   [ ] Other (specify below)<br>_President_ | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities Beneficially Owned

---

|  |  |  |  |
| --- | --- | --- | --- |
| 1. Title of Security | 2. Amount of Securities Beneficially Owned | 3. Ownership Form | 4. Nature of Indirect Beneficial Ownership |

---

## Table II - Derivative Securities Beneficially Owned

---

|  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Underlying Securities | 3. Title and Amount of Underlying Securities | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| Stock option (right to buy) | <sup>(1)</sup> | 2030-01-11 | Common Stock | 36363.0 | $0.28 | D |  |
| Stock option (right to buy) | <sup>(2)</sup> | 2031-02-11 | Common Stock | 9000.0 | $4.25 | D |  |
| Stock option (right to buy) | <sup>(3)</sup> | 2033-01-18 | Common Stock | 240000.0 | $4.465 | D |  |

---

### Footnotes:

(1) 28,788 shares subject to the stock option are fully vested and exercisable.

(2) 2,631 shares subject to the stock option are fully vested and exercisable.

(3) Twenty-five percent (25%) of the shares subject to the Stock Option shall vest on the one (1) year anniversary of the Vesting Commencement Date (January 18, 2024), and one forty-eighth (1/48th) of the shares subject to the Stock Option shall vest each month thereafter on the same day of the month as the Vesting Commencement Date, subject to the Mr. Eno continuing to be engaged with the company through each such date. All shares subject to the Stock Option shall accelerate and vest in full upon the company's termination of Mr. Eno's engagement with the company following a Change in Control (as defined in the company's 2022 equity incentive plan).

**Signature:** /s/ Robert Paul Eno  
**Date:** 2023-01-27

### Remarks:

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.**