SEC Form 4 · accession 0001179110-16-033305
ST JUDE MEDICAL, LLC · STJ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeff Dallager
Officer — VP and Corporate Controller
Period of report
Dec 17, 2016
Accepted (ET)
Dec 20, 2016 · 4:51 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,F2 | Dec 17, 2016 | M | 678 | — | A | 7,097 | D | |
| Common StockF3 | Dec 17, 2016 | F | 228 | $79.20 | D | 6,869 | D | |
| Common StockF1 | Dec 17, 2016 | M | 1,472 | — | A | 8,341 | D | |
| Common StockF4 | Dec 17, 2016 | F | 495 | $79.20 | D | 7,846 | D | |
| Common StockF1 | Dec 17, 2016 | M | 557 | — | A | 8,403 | D | |
| Common StockF5 | Dec 17, 2016 | F | 188 | $79.20 | D | 8,215 | D | |
| Common StockF1 | Dec 17, 2016 | M | 642 | — | A | 8,857 | D | |
| Common StockF6 | Dec 17, 2016 | F | 216 | $79.20 | D | 8,641 | 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,F7 | — | Dec 17, 2016 | M | 678 | D | Dec 17, 2013 | — | Common Stock | 678 | 0 | D |
| Restricted Stock UnitsF1,F7 | — | Dec 17, 2016 | M | 1,472 | D | Dec 17, 2014 | — | Common Stock | 2,914 | 1,472 | D |
| Restricted Stock UnitsF1,F7 | — | Dec 17, 2016 | M | 557 | D | Dec 17, 2015 | — | Common Stock | 1,671 | 1,114 | D |
| Restricted Stock UnitsF1,F7 | — | Dec 17, 2016 | M | 642 | D | Dec 17, 2012 | — | Common Stock | 2,568 | 1,926 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.
- F2Includes 383 additional shares acquired through the Company Employee Stock Purchase Plan on 7/31/16.
- F3678 shares of restricted stock vested on December 17, 2016. 228 shares were used to pay taxes and 450 shares were released.
- F41,472 shares of restricted stock vested on December 17, 2016. 495 shares were used to pay taxes and 977 shares were released.
- F5557 shares of restricted stock vested on December 17, 2016. 188 shares were used to pay taxes and 369 shares were released.
- F6642 shares of restricted stock vested on December 17, 2016. 216 shares were used to pay taxes and 426 shares were released.
- F7The restricted stock units will vest 25% on December 17th annually beginning the date shown.