SEC Form 4 · accession 0001127602-18-026214
Medtronic plc · MDT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert C Pozen
Director
Period of report
Aug 23, 2018
Accepted (ET)
Aug 24, 2018 · 4:32 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001613103
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary SharesF1 | Aug 23, 2018 | M | 2,671 | $29.96 | A | 62,369 | D | |
| Ordinary Shares | Aug 23, 2018 | M | 1,813 | $44.13 | A | 64,182 | D | |
| Ordinary Shares | Aug 23, 2018 | S | 3,218 | $95.941 | D | 60,964 | 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)F2 | $29.96 | Aug 23, 2018 | M | 2,671 | D | — | Apr 27, 2019 | Ordinary Shares | 2,671 | 0 | D |
| Stock Option (Right to Buy)F3 | $44.13 | Aug 23, 2018 | M | 1,813 | D | — | May 3, 2020 | Ordinary Shares | 1,813 | 0 | D |
Explanation of responses
- F1This balance increased 155 shares due to exempt transactions such as dividend reinvestment.
- F2This option to purchase 2,671 New Medtronic ordinary shares for $29.96 per share, which was fully vested at the effective time of the Merger, was received in the Merger and represents the conversion of 2,671 Medtronic common stock shares for $29.96 per share. This New Medtronic stock option has the same terms and conditions as the original Medtronic stock option.
- F3This option to purchase 1,813 New Medtronic ordinary shares for $44.13 per share, which was fully vested at the effective time of the Merger, was received in the Merger and represents the conversion of 1,813 Medtronic common stock shares for $44.13 per share. This New Medtronic stock option has the same terms and conditions as the original Medtronic stock option.