0001209191-20-020061.txt : 20200318 0001209191-20-020061.hdr.sgml : 20200318 20200318173801 ACCESSION NUMBER: 0001209191-20-020061 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200316 FILED AS OF DATE: 20200318 DATE AS OF CHANGE: 20200318 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Goodnow Timothy T CENTRAL INDEX KEY: 0001667588 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37717 FILM NUMBER: 20725679 MAIL ADDRESS: STREET 1: 20451 SENECA MEADOWS PARKWAY CITY: GERMANTOWN STATE: MD ZIP: 20876 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Senseonics Holdings, Inc. CENTRAL INDEX KEY: 0001616543 STANDARD INDUSTRIAL CLASSIFICATION: INDUSTRIAL INSTRUMENTS FOR MEASUREMENT, DISPLAY, AND CONTROL [3823] IRS NUMBER: 471210911 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 20451 SENECA MEADOWS PARKWAY CITY: GERMANTOWN STATE: MD ZIP: 20876 BUSINESS PHONE: (301) 515-7260 MAIL ADDRESS: STREET 1: 20451 SENECA MEADOWS PARKWAY CITY: GERMANTOWN STATE: MD ZIP: 20876 FORMER COMPANY: FORMER CONFORMED NAME: ASN Technologies, Inc. DATE OF NAME CHANGE: 20140813 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-03-16 0 0001616543 Senseonics Holdings, Inc. SENS 0001667588 Goodnow Timothy T 20451 SENECA MEADOWS PARKWAY GERMANTOWN MD 20876-7005 1 1 0 0 President and CEO Common Stock 2020-01-31 5 J 0 E 12000 0.70 A 437012 D Common Stock 2020-03-16 4 M 0 80000 0.54 A 517012 D Common Stock 2020-03-16 4 S 0 80000 0.71 D 437012 D Employee stock option (right to buy) 0.54 2020-03-16 4 M 0 80000 0.00 D 2020-12-02 Common Stock 80000 1878610 D These shares were acquired under the Issuer's Employee Stock Purchase Plan ("ESPP") in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c). This represents the maximum number of shares the Reporting Person could purchase through the ESPP. The option exercise and sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 10, 2019. This 10b5-1 plan related to the periodic exercises of stock options that were scheduled to expire between December 2, 2020 and February 27, 2021, and would expire worthless if not exercised by their respective expiration dates, and sales of the shares underlying such options. Effective March 18, 2020, the Reporting Person terminated this Rule 10b5-1 trading plan and, as described in footnote (4) agreed to forfeit the unexercised portions of these stock options for no consideration. Price reflected is a weighted-average sale price for the shares sold. The range of sale prices for the transaction reported was $0.6101 - $0.7475 per share, inclusive. The Reporting Person is undertaken to provide upon request of the staff, the Issuer, or a secondary holder of the Issuer, full information regarding the number of shares sold at each price. Immediately exercisable. In connection with the termination of the Rule 10b5-1 trading plan, as described in footnote (2), the Reporting Person has agreed to forfeit the unexercised portions of these stock options for no consideration. /s/ Darren K. DeStefano, Attorney-in-Fact 2020-03-18