Rothberg Amends Quantum-Si Stake Filing

TL;DR

Rothberg updated his Quantum-Si filing. Keep an eye on this.

AI Summary

Jonathan M. Rothberg, Ph.D. has amended his Schedule 13D filing for Quantum-Si Incorporated on September 17, 2024. The filing indicates a change in beneficial ownership of the company's Class A common stock. Rothberg's address is listed as c/o Quantum-Si Incorporated, 29 Business Park Drive, Branford, CT 06405.

Why It Matters

This filing update from a significant shareholder like Jonathan M. Rothberg could signal changes in his investment strategy or influence over Quantum-Si, potentially impacting the stock price.

Risk Assessment

Risk Level: medium — Amendments to Schedule 13D filings by significant shareholders can indicate shifts in control or strategy, warranting close monitoring.

Key Players & Entities

• Jonathan M. Rothberg, Ph.D. (person) — Filing party and beneficial owner
• Quantum-Si Incorporated (company) — Subject company
• 29 Business Park Drive, Branford, CT 06405 (location) — Rothberg's mailing address

FAQ

Key Financial Figures

• $0.0001 — ssuer) Class A common stock, par value $0.0001 per share Class B common stock, par va

Filing Documents

• ef20035967_sc13da.htm (SC 13D/A) — 168KB
• ef20035967_ex4.htm (EX-4) — 96KB
• image0.jpg (GRAPHIC) — 14KB
• 0001140361-24-041311.txt ( ) — 285KB

of the Schedule 13D is hereby amended and supplemented by adding the following

Item 4 of the Schedule 13D is hereby amended and supplemented by adding the following: In connection with estate planning, entities owned by trusts created for the benefit of Dr. Jonathan Rothberg's children have entered into a trading plan pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Plan"), a copy of which is attached hereto as Exhibit 4. Pursuant to the Plan, sales of up to 6,250,000 shares of Class A common stock may be effected during the plan sales period beginning following the cooling-off period contained in Rule 10b5-1(c) on January 13, 2025 and ending on January 13, 2026 in accordance with the terms and conditions of the Plan. The sale of shares of Class A common stock under the Plan is subject to minimum price parameters included in the Plan, and there is no assurance that any shares of Class A common stock will be sold under the Plan. Item 5. Interest in Securities of the Issuer. There are no changes to the Item 5 information previously filed. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. There are no changes to the Item 6 information previously filed.

Material to be Filed as Exhibits

Item 7. Material to be Filed as Exhibits.

of the Schedule 13D is hereby amended by adding the following exhibit

Item 7 of the Schedule 13D is hereby amended by adding the following exhibit: Exhibit No. Description 4. Rule 10b5-1 Trading Plan. SIGNATURE After reasonable inquiry and to the best of the undersigned's knowledge and belief, the undersigned hereby certifies that the information set forth in this statement is true, complete and correct. Dated: September 17, 2024 /s/ Jonathan M. Rothberg Jonathan M. Rothberg, Ph.D. 23rd Century Capital LLC By: /s/ Jonathan M. Rothberg Name:Jonathan M. Rothberg, Ph.D. Title: Member 2012 JMR Trust Common, LLC By: /s/ Jonathan M. Rothberg Name: Jonathan M. Rothberg, Ph.D. Title: Manager 4C Holdings I, LLC By: /s/ Jonathan M. Rothberg Name: Jonathan M. Rothberg, Ph.D. Title: Manager 4C Holdings V, LLC By: /s/ Jonathan M. Rothberg Name: Jonathan M. Rothberg, Ph.D. Title: Manager

View Full Filing

View this SC 13D/A filing on SEC EDGAR