SEC Form 4 · accession 0001437749-16-042133
CUTERA INC · CUTR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald J Santilli
Officer — Interim CEO and CFO
Period of report
Nov 10, 2016
Accepted (ET)
Nov 15, 2016 · 6:07 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001162461
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| COMMON | Nov 10, 2016 | M | 16,177 | $8.72 | A | 125,958 | D | |
| COMMONF1 | Nov 10, 2016 | S | 16,177 | $14.05 | D | 109,781 | D | |
| COMMON | Nov 11, 2016 | M | 22,469 | $8.72 | A | 132,250 | D | |
| COMMONF2 | Nov 11, 2016 | S | 22,469 | $14.02 | D | 109,781 | D | |
| COMMON | Nov 14, 2016 | M | 14,700 | $8.72 | A | 124,481 | D | |
| COMMONF3 | Nov 14, 2016 | S | 14,700 | $14.10 | D | 109,781 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $8.72 | Nov 10, 2016 | M | 16,177 | D | Jun 1, 2012 | May 27, 2018 | Common Stock | 80,000 | 63,823 | D |
| Employee Stock Option (Right to Buy) | $8.72 | Nov 11, 2016 | M | 22,469 | D | Dec 1, 2012 | May 27, 2018 | Common Stock | 80,000 | 41,354 | D |
| Employee Stock Option (Right to Buy) | $8.72 | Nov 14, 2016 | M | 14,700 | D | Jul 1, 2013 | May 27, 2018 | Common Stock | 80,000 | 26,654 | D |
Explanation of responses
- F1Stock prices ranged from $13.75 to $14.45, with $14.05 being the average. The reporting person undertakes to provide to Cutera, Inc., any security holder of Cutera, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- F2Stock prices ranged from $13.80 to $14.10, with $14.02 being the average. The reporting person undertakes to provide to Cutera, Inc., any security holder of Cutera, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- F3Stock prices ranged from $14.10 to $14.15, with $14.10 being the average. The reporting person undertakes to provide to Cutera, Inc., any security holder of Cutera, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.