SEC Form 4 · accession 0000911916-17-000222
ZIMMER BIOMET HOLDINGS, INC. · ZBH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tony W. Collins
Officer — VP, Controller and CAO
Period of report
Jul 31, 2017
Accepted (ET)
Aug 2, 2017 · 4:35 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001136869
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jul 31, 2017 | M | 1,752 | $73.15 | A | 2,796 | D | |
| Common Stock | Jul 31, 2017 | M | 2,428 | $94.34 | A | 5,224 | D | |
| Common Stock | Jul 31, 2017 | M | 4,723 | $113.83 | A | 9,947 | D | |
| Common Stock | Jul 31, 2017 | M | 4,723 | $113.83 | A | 14,670 | D | |
| Common Stock | Jul 31, 2017 | M | 2,670 | $104.01 | A | 17,340 | D | |
| Common StockF2 | Jul 31, 2017 | S | 15,096 | $121.7095 | D | 2,244 | D | |
| Common StockF3 | Jul 31, 2017 | S | 1,200 | $122.3792 | D | 1,044 | D | |
| Common Stock | Jul 31, 2017 | S | 93 | $121.7601 | D | 951 | D | |
| Common Stock | Jul 31, 2017 | S | 597 | $121.32 | D | 354 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F4 | $73.15 | Jul 31, 2017 | M | 1,752 | D | — | Mar 18, 2023 | Common Stock | 1,752 | 0 | D |
| Employee Stock Option (right to buy)F5 | $94.34 | Jul 31, 2017 | M | 2,428 | D | — | Mar 17, 2024 | Common Stock | 2,428 | 1,213 | D |
| Employee Stock Option (right to buy)F6 | $113.83 | Jul 31, 2017 | M | 4,723 | D | — | Jun 24, 2025 | Common Stock | 4,723 | 4,722 | D |
| Employee Stock Option (right to buy)F7 | $113.83 | Jul 31, 2017 | M | 4,723 | D | — | Jun 24, 2025 | Common Stock | 4,723 | 4,723 | D |
| Employee Stock Option (right to buy)F8 | $104.01 | Jul 31, 2017 | M | 2,670 | D | — | Mar 21, 2026 | Common Stock | 2,670 | 8,010 | D |
Explanation of responses
- F1Includes 120 shares acquired under the Zimmer Biomet Holdings, Inc. Employee Stock Purchase Plan between May 1, 2017 and June 30, 2017.
- F2Represents the sale of 15,096 shares in multiple transactions ranging in price from $121.15 to $122.14 per share, resulting in a weighted average sale price of $121.7095. The reporting person will provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each price within the range.
- F3Represents the sale of 1,200 shares in multiple transactions ranging in price from $122.16 to $122.52 per share, resulting in a weighted average sale price of $122.3792. The reporting person will provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each price within the range.
- F4The options vested on March 18, 2017.
- F51,214 options vested on each of March 17, 2016 and 2017; and the remaining 1,213 of the options are scheduled to vest on March 17, 2018.
- F62,362 options vested on June 24, 2016; 2,361 options vested on June 24, 2017; and the remaining options will vest as to 2,361 options on each of June 24, 2018 and 2019.
- F72,362 options vested on June 24, 2016; 2,361 options vested on June 24, 2017; and the remaining options will vest as to 2,362 options on June 24, 2018 and as to 2,361 options on June 24, 2019.
- F82,670 options vested on March 21, 2017; and the remaining options will vest as to 2,670 options on each of March 21, 2018, 2019 and 2020.