SEC Form 4 · accession 0001179110-16-033308
ST JUDE MEDICAL, LLC · STJ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric S Fain
Officer — Group President
Period of report
Dec 17, 2016
Accepted (ET)
Dec 20, 2016 · 5:01 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 17, 2016 | M | 4,000 | — | A | 129,175 | D | |
| Common StockF2 | Dec 17, 2016 | F | 2,102 | $79.20 | D | 127,073 | D | |
| Common StockF1 | Dec 17, 2016 | M | 2,554 | — | A | 129,627 | D | |
| Common StockF3 | Dec 17, 2016 | F | 1,342 | $79.20 | D | 128,285 | D | |
| Common StockF1 | Dec 17, 2016 | M | 2,339 | — | A | 130,624 | D | |
| Common StockF4 | Dec 17, 2016 | F | 127 | $79.20 | D | 129,397 | D | |
| Common StockF1 | Dec 17, 2016 | M | 2,772 | — | A | 132,169 | D | |
| Common StockF5 | Dec 17, 2016 | F | 1,453 | $79.20 | D | 130,716 | 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,F6 | — | Dec 17, 2016 | M | 4,000 | D | Dec 17, 2013 | — | Common Stock | 4,000 | 0 | D |
| Restricted Stock UnitsF1,F6 | — | Dec 17, 2016 | M | 2,554 | D | Dec 17, 2014 | — | Common Stock | 5,108 | 2,554 | D |
| Restricted Stock UnitsF1,F6 | — | Dec 17, 2016 | M | 2,339 | D | Dec 17, 2015 | — | Common Stock | 7,017 | 4,678 | D |
| Restricted Stock UnitsF1,F6 | — | Dec 17, 2016 | M | 2,772 | D | Dec 17, 2016 | — | Common Stock | 11,088 | 8,316 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.
- F24,000 shares of restricted stock vested on December 17, 2016. 2102 shares were used to pay taxes and 1898 shares were released.
- F32,554 shares of restricted stock vested on December 17, 2016. 1,342 shares were used to pay taxes and 1,212 shares were released.
- F42,339 shares of restricted stock vested on December 17, 2016. 1,227 shares were used to pay taxes and 1,112 shares were released.
- F52,772 shares of restricted stock vested on December 17, 2016. 1,453 shares were used to pay taxes and 1,319 shares were released.
- F6The restricted stock units will vest 25% on December 17th annually beginning the date shown.