0000899243-23-020460.txt : 20231122 0000899243-23-020460.hdr.sgml : 20231122 20231122131101 ACCESSION NUMBER: 0000899243-23-020460 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231120 FILED AS OF DATE: 20231122 DATE AS OF CHANGE: 20231122 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DiMaio John Michael CENTRAL INDEX KEY: 0001993856 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40058 FILM NUMBER: 231432182 MAIL ADDRESS: STREET 1: 6125 LUTHER LANE CITY: DALLAS STATE: TX ZIP: 75225 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Spectral AI, Inc. CENTRAL INDEX KEY: 0001833498 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2515 MCKINNEY AVE #1000 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: (212) 492-3000 MAIL ADDRESS: STREET 1: 2515 MCKINNEY AVE #1000 CITY: DALLAS STATE: TX ZIP: 75201 FORMER COMPANY: FORMER CONFORMED NAME: Rosecliff Acquisition Corp I DATE OF NAME CHANGE: 20201123 4 1 doc4.xml FORM 4 SUBMISSION X0508 4 2023-11-20 0 0001833498 Spectral AI, Inc. MDAI 0001993856 DiMaio John Michael 6125 LUTHER LANE DALLAS TX 75225 0 0 1 0 0 Common Stock, par value $0.0001 per share 2023-09-12 5 P 0 E 1000 5.97 A 2478855 I See Footnotes Common Stock, par value $0.0001 per share 2023-09-13 5 P 0 E 198 5.07 A 2479053 I See Footnotes Common Stock, par value $0.0001 per share 2023-11-14 5 P 0 E 355 2.81 A 2479408 I See Footnotes Common Stock, par value $0.0001 per share 2023-11-16 5 P 0 E 500 2.68 A 2479908 I See Footnotes Common Stock, par value $0.0001 per share 2023-11-20 4 P 0 2000 2.67 A 2481908 I See Footnotes The price reported is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $5.94 to $6.00, inclusive. Dr. John Michael DiMaio (the "Reporting Person") undertakes to provide to the issuer, any security holder of the issuer or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares acquired in the trades at each separate price within the range set forth in this footnote. The price reported is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $5.02 to $5.14, inclusive. The Reporting Person undertakes to provide to issuer, any security holder of the issuer or the staff of the SEC, upon request, full information regarding the number of shares acquired in the trades at each separate price within the range set forth in this footnote. The price reported is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $2.81 to $2.82, inclusive. The Reporting Person undertakes to provide to issuer, any security holder of the issuer or the staff of the SEC, upon request, full information regarding the number of shares acquired in the trades at each separate price within the range set forth in this footnote. This transaction represents a de minimis acquisition of securities by the Reporting Person under Section 240.16a-6 of the Securities Exchange Act of 1934, as amended (the "Act"), which, in the aggregate with certain other transactions within a six-month period, does not exceed $10,000 in market value. This statement is filed by and on behalf of the Reporting Person. The Reporting Person is the record and direct beneficial owner of the securities covered by this statement. The Reporting Person may be deemed to be a member of a group with respect to the issuer or securities of the issuer for purposes of Section 13(d) or 13(g) of the Act. The Reporting Person declares that neither the filing of this statement nor anything herein shall be construed as an admission that the Reporting Person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, a member of a group with respect to the issuer or securities of the issuer. /s/ John Michael DiMaio 2023-11-22