SEC Form 4 · accession 0001209191-15-051902
GI DYNAMICS, INC. · GID
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anne Keating
Director
Period of report
Jun 9, 2015
Accepted (ET)
Jun 10, 2015 · 4:52 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001245791
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $5.70 | Jun 9, 2015 | A | 1,000 | A | — | Mar 23, 2025 | Common Stock | 1,000 | 1,000 | D |
| Restricted Stock Unit (RSU)F2,F3 | — | Jun 9, 2015 | A | 1,000 | A | — | Mar 23, 2025 | Common Stock | 1,000 | 1,000 | D |
Explanation of responses
- F1The option grant was approved by GI Dynamics, Inc.'s board of directors on March 23, 2015, subject to shareholder approval. Such shareholder approval was received on June 9, 2015.The option vests in full on March 23, 2016.
- F2There is no exercise price associated with the RSU.
- F3The RSU was approved by GI Dynamics, Inc.'s board of directors on March 23, 2015, subject to shareholder approval. Such shareholder approval was received on June 9, 2015.The RSU vests in full on March 23, 2016.