SEC Form 4 · accession 0000899243-16-021067
GI DYNAMICS, INC. · GID
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anne Keating
Director
Period of report
May 25, 2016
Accepted (ET)
May 26, 2016 · 5:56 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001245791
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F3,F4 | May 25, 2016 | P | 15,000 | $0.72 | A | 20,166 | I | By Stratford Gem Pty Ltd (Superannuation Fund) |
| Common StockF2,F3,F5 | May 25, 2016 | P | 9,000 | $0.74 | A | 29,166 | I | By Stratford Gem Pty Ltd (Superannuation Fund) |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents the purchase of 750,000 of the Company's Chess Depositary Interests (CDIs), trading on the Australian Securities Exchange (the "ASX"). Each CDI represents an interest in 1/50 of an underlying share of Common Stock of the Company.
- F2Represents the purchase of 450,000 of the Company's Chess Depositary Interests (CDIs), trading on the Australian Securities Exchange (the "ASX"). Each CDI represents an interest in 1/50 of an underlying share of Common Stock of the Company.
- F3The purchase was executed in the form of CDIs, trading on the ASX, and as such the purchase price has been converted to a USD equivalent, adjusting for the ratio of 1 share of Common Stock per 50 CDIs, using the exchange rate as published by the Reserve Bank of Australia in effect on the date of purchase.
- F4Represents 1,008,300 of the Company's CDIs, trading on the ASX. Each CDI represents an interest in 1/50 of an underlying share of Common Stock of the Company.
- F5Represents 1,458,300 of the Company's CDIs, trading on the ASX. Each CDI represents an interest in 1/50 of an underlying share of Common Stock of the Company.