SEC Form 4 · accession 0001209191-15-026295
GI DYNAMICS, INC. · GID
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anne Keating
Director
Period of report
Mar 13, 2015
Accepted (ET)
Mar 16, 2015 · 11:10 am 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,F2,F3 | Mar 13, 2015 | P | 26,000 | $0.52 | A | 51,660 | 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 130,000 of the Company's Chess Depositary Interests (CDIs), trading on the Australian Securities Exchange (the "ASX"). Each CDI represents an interest in 1/5 of an underlying share of Common Stock of the Company.
- F2The 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 5 CDIs, using the exchange rate as published by the Reserve Bank of Australia in effect on the date of purchase.
- F3Represents 258,300 of the Company's CDIs, trading on the ASX. Each CDI represents an interest in 1/5 of an underlying share of Common Stock of the Company.