Initial Statement of Beneficial Ownership (3)
March 15 2021 - 7:49PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Horton Kenneth L |
2. Date of Event Requiring Statement (MM/DD/YYYY)
3/5/2021
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3. Issuer Name and Ticker or Trading Symbol
Senseonics Holdings, Inc. [SENS]
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(Last)
(First)
(Middle)
C/O SENSEONICS HOLDINGS, INC., 20451 SENECA MEADOWS PARKWAY |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) GC & Corp. Development Advisor / |
(Street)
GERMANTOWN, MD 20876
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 925379 (1) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (right to buy) | (2) | 11/14/2027 | Common Stock | 223500 | $2.62 | D | |
Employee Stock Option (right to buy) | (3) | 3/7/2028 | Common Stock | 124000 | $3.18 | D | |
Employee Stock Option (right to buy) | (3) | 1/16/2029 | Common Stock | 190000 | $2.72 | D | |
Explanation of Responses: |
(1) | Includes 728,242 restricted stock units ("RSUs") which vest in six equal six month installments commencing on May 15, 2021, subject to the Reporting Person's continuous service with the Issuer as of the applicable vesting date. |
(2) | 25% of the shares vested on November 15, 2018 with the remaining shares vesting in 36 equal monthly installments over the ensuing three years, subject to the Reporting Person's continuous service with the Issuer as of the applicable vesting date. |
(3) | Shares vest in 48 equal monthly installments from the grant date of January 17, 2019, subject to the Reporting Person's continuous service with the issuer as of the applicable vesting date. |
Remarks: Exhibit List - Exhibit 24 - Power of Attorney |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Horton Kenneth L C/O SENSEONICS HOLDINGS, INC. 20451 SENECA MEADOWS PARKWAY GERMANTOWN, MD 20876 |
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| GC & Corp. Development Advisor |
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Signatures
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/s/ Darren K. DeStefano, Attorney-in-Fact | | 3/15/2021 |
**Signature of Reporting Person | Date |
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