SEC Form 4 · accession 0001209191-17-055938
Senseonics Holdings, Inc. · SENS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mukul Jain
Officer — Chief Operating Officer
Period of report
Oct 2, 2017
Accepted (ET)
Oct 4, 2017 · 5:28 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001616543
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 2, 2017 | M | 11,885 | $0.54 | A | 11,885 | D | |
| Common StockF2 | Oct 2, 2017 | S | 11,885 | $3.25 | D | 0 | D |
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)F3 | $0.54 | Oct 2, 2017 | M | 11,885 | D | — | Mar 12, 2022 | Common Stock | 11,885 | 27,437 | D |
Explanation of responses
- F1The option exercise and sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the record holder of the securities on December 7, 2016.
- F2This transaction was executed in multiple trades at prices ranging from $3.25 to $3.27, inclusive. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected.
- F325% of the shares vested on January 3, 2013 and the remaining shares vested monthly over three years.