SEC Form 4 · accession 0001179110-16-033313
ST JUDE MEDICAL, LLC · STJ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael T Rousseau
Officer — Chief Operating Officer
Period of report
Dec 17, 2016
Accepted (ET)
Dec 20, 2016 · 5:15 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 | 8,000 | — | A | 39,822 | D | |
| Common StockF2 | Dec 17, 2016 | F | 3,374 | $79.20 | D | 36,448 | D | |
| Common StockF1 | Dec 17, 2016 | M | 4,474 | — | A | 40,922 | D | |
| Common StockF3 | Dec 17, 2016 | F | 1,886 | $79.20 | D | 39,036 | D | |
| Common StockF1 | Dec 17, 2016 | M | 4,107 | — | A | 43,143 | D | |
| Common StockF4 | Dec 17, 2016 | F | 1,730 | $79.20 | D | 41,413 | D | |
| Common StockF1 | Dec 17, 2016 | M | 9,263 | — | A | 50,676 | D | |
| Common StockF5 | Dec 17, 2016 | F | 3,897 | $79.20 | D | 46,779 | D | |
| Common Stock | holding | — | — | — | 19,618 | I | Family Trust |
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 | 8,000 | D | Dec 17, 2013 | — | Common Stock | 8,000 | 0 | D |
| Restricted Stock UnitsF1,F6 | — | Dec 17, 2016 | M | 4,474 | D | Dec 17, 2014 | — | Common Stock | 8,948 | 4,474 | D |
| Restricted Stock UnitsF1,F6 | — | Dec 17, 2016 | M | 4,107 | D | Dec 17, 2015 | — | Common Stock | 12,321 | 8,214 | D |
| Restricted Stock UnitsF1,F6 | — | Dec 17, 2016 | M | 9,263 | D | Dec 17, 2016 | — | Common Stock | 37,052 | 27,789 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.
- F28,000 shares of restricted stock vested on December 17, 2016. 3,374 shares were used to pay taxes and 4,626 shares were released.
- F34,474 shares of restricted stock vested on December 17, 2016. 1,886 shares were used to pay taxes and 2,588 shares were released.
- F44,107 shares of restricted stock vested on December 17, 2016. 1,730 shares were used to pay taxes and 2,377 shares were released.
- F59,263 shares of restricted stock vested on December 17, 2016. 3,897 shares were used to pay taxes and 5,366 shares were released.
- F6The restricted stock units will vest 25% on December 17th annually beginning the date shown.