SEC Form 4 · accession 0001179110-16-032611
ST JUDE MEDICAL, LLC · STJ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
I Paul Bae
Officer — VP Global HR and CCO
Period of report
Dec 7, 2016
Accepted (ET)
Dec 8, 2016 · 5:32 pm EST
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 | Dec 7, 2016 | M | 24,000 | $30.58 | A | 35,038 | D | |
| Common StockF2 | Dec 7, 2016 | F | 15,696 | $79.68 | D | 19,342 | 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)F3 | $30.58 | Dec 7, 2016 | M | 24,000 | D | Dec 15, 2009 | Dec 15, 2016 | Common Stock | 24,000 | 0 | D |
Explanation of responses
- F1Includes 207 additional shares acquired through the Company Employee Stock Purchase Plan on July 29, 2016.
- F2Shares of common stock withheld to pay the exercise price of the stock options and to pay tax withholdings. The 24,000 shares acquired upon the option exercise, net of 15,696 shares used to pay exercise price and taxes, resulted in 8,304 shares that were retained.
- F3Fully vested at the time of filing.