SEC Info - Roche Holding Ltd., et al. - ‘3’ for 6/1/17 re: Senseonics Holdings, Inc.

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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^*

ROCHE FINANCE LTD

(Last)

(First)

(Middle)

GRENZACHERSTRASSE 122

(Street)

BASEL

CH4070

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
6/1/17

3. Issuer Name and Ticker or Trading Symbol
Senseonics Holdings, Inc. [ SENS ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

Director	X	10% Owner
Officer (give title below)		Other (specify below)

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

	Form filed by One Reporting Person
X	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
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	28,345,275	D ⁽¹⁾

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Common stock purchase warrant	⁽²⁾	7/15/21	Common stock	164,284	1.79	D ⁽¹⁾
Common stock purchase warrant	⁽²⁾	11/1/20	Common stock	809,450	1.79	D ⁽¹⁾

1. Name and Address of Reporting Person^*

ROCHE FINANCE LTD

(Last)

(First)

(Middle)

GRENZACHERSTRASSE 122

(Street)

BASEL

CH4070

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

ROCHE HOLDING LTD

(Last)

(First)

(Middle)

GRENZACHERSTRASSE 124

(Street)

BASEL

CH4070

(City)

(State)

(Zip)

Explanation of Responses:

(1) Roche Finance Ltd is the direct beneficial owner of these securities of the Issuer. Roche Finance Ltd is a wholly owned subsidiary of Roche Holding Ltd. Roche Holding Ltd is the indirect beneficial owner of these securities of the Issuer. Each Reporting Person disclaims beneficial ownership of the securities except to the extent of its pecuniary interest therein, if any. Each Reporting Person also disclaims beneficial ownership of any securities of the Issuer that may be or are beneficially owned by any other person or persons other than such Reporting Person. This Form 4 shall not be deemed an admission that any Reporting Person or other person is a beneficial owner of any securities of the Issuer for any purpose, other than the securities reported in this Form 4.

(2) Immediately exercisable.

Remarks:

Exhibit 24.1 Power of Attorney

	/s/ Darren K. DeStefano, Attorney-in-Fact for Roche Finance Ltd	6/7/17
	/s/ Darren K. DeStefano, Attorney-in-Fact for Roche Holding Ltd	6/7/17
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Roche Holding Ltd., et al. – ‘3’ for 6/1/17 re: Senseonics Holdings, Inc.

On: Wednesday, 6/7/17, at 4:05pm ET · For: 6/1/17 · Accession #: 1209191-17-38273 · File #: 1-37717

Previous ‘3’: ‘3’ on / for 3/17/16 · Next: ‘3’ on / for 6/28/17 · Latest: ‘3’ on 11/7/23 for 10/25/23

Initial Statement of Beneficial Ownership of Securities by an Insider — Form 3 — SEA’34
Filing Table of Contents

‘3’ — Form 3 Submission — doc3.xml/2.6

This ‘3’ Document is an XML Data File that may be rendered in various formats:

Roche Holding Ltd., et al. – ‘3’ for 6/1/17 re: Senseonics Holdings, Inc.

On: Wednesday, 6/7/17, at 4:05pm ET · For: 6/1/17 · Accession #: 1209191-17-38273 · File #: 1-37717

Previous ‘3’: ‘3’ on / for 3/17/16 · Next: ‘3’ on / for 6/28/17 · Latest: ‘3’ on 11/7/23 for 10/25/23

Initial Statement of Beneficial Ownership of Securities by an Insider — Form 3 — SEA’34Filing Table of Contents

‘3’ — Form 3 Submission — doc3.xml/2.6

This ‘3’ Document is an XML Data File that may be rendered in various formats:

Initial Statement of Beneficial Ownership of Securities by an Insider — Form 3 — SEA’34
Filing Table of Contents