SEC Form 4 · accession 0001179110-16-023867
ST JUDE MEDICAL, LLC · STJ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael A Rocca
Director
Period of report
May 3, 2016
Accepted (ET)
May 5, 2016 · 4:09 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000203077
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | May 3, 2016 | M | 8,800 | $40.93 | A | 30,009 | D | |
| Common StockF1 | May 3, 2016 | F | 4,749 | $75.85 | D | 25,260 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy)F2 | $40.93 | May 3, 2016 | M | 8,800 | D | Nov 9, 2008 | May 9, 2016 | Common Stock | 8,800 | 0 | D |
Explanation of responses
- F1Shares of common stock withheld to pay the exercise price of the stock options and to pay tax withholdings. There was no market sale of any shares. The 8,800 shares acquired upon the option exercise, net of 4,749 shares used to pay exercise price and taxes, resulted in 4,051 shares that were retained.
- F2Fully vested at the time of filing.