SEC Form 4 · accession 0001179110-16-029398
ST JUDE MEDICAL, LLC · STJ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Carlson
Officer — Chief Medical Off-VP,Clinical
Period of report
Sep 3, 2016
Accepted (ET)
Sep 7, 2016 · 4:00 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 StockF1 | Sep 3, 2016 | M | 875 | — | A | 8,785 | D | |
| Common StockF2 | Sep 3, 2016 | F | 331 | $78.65 | D | 8,454 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F3 | — | Sep 3, 2016 | M | 875 | D | Sep 3, 2014 | — | Common Stock | 1,750 | 875 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of the Company's commons stock.
- F2875 shares of restricted stock vested on September 3, 2016. 331 shares were used to pay taxes and 544 shares were released.
- F3The restricted stock units will vest 25% on each of the first four anniversary dates of the date of the grant beginning the date shown.