SEC Form 4 · accession 0001179110-16-033322
ST JUDE MEDICAL, LLC · STJ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jason Zellers
Officer — VP, General Counsel & Corp Sec
Period of report
Dec 17, 2016
Accepted (ET)
Dec 20, 2016 · 5:33 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 | 2,333 | — | A | 16,816 | D | |
| Common StockF3 | Dec 17, 2016 | F | 784 | $79.20 | D | 16,032 | D | |
| Common StockF1 | Dec 17, 2016 | M | 1,608 | — | A | 17,640 | D | |
| Common StockF4 | Dec 17, 2016 | F | 541 | $79.20 | D | 17,099 | D | |
| Common StockF1 | Dec 17, 2016 | M | 1,417 | — | A | 18,516 | D | |
| Common StockF5 | Dec 17, 2016 | F | 477 | $79.20 | D | 18,039 | D | |
| Common StockF1 | Dec 17, 2016 | M | 1,771 | — | A | 19,810 | D | |
| Common StockF6 | Dec 17, 2016 | F | 596 | $79.20 | D | 19,214 | 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 | 2,333 | D | Dec 17, 2013 | — | Common Stock | 2,333 | 0 | D |
| Restricted Stock UnitsF1,F7 | — | Dec 17, 2016 | M | 1,608 | D | Dec 17, 2014 | — | Common Stock | 3,216 | 1,608 | D |
| Restricted Stock UnitsF1,F7 | — | Dec 17, 2016 | M | 1,417 | D | Dec 17, 2015 | — | Common Stock | 4,251 | 2,834 | D |
| Restricted Stock UnitsF1,F7 | — | Dec 17, 2016 | M | 1,771 | D | Dec 17, 2016 | — | Common Stock | 7,084 | 5,313 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.
- F2Includes 338 additional shares acquired through the Company Employee Stock Purchase Plan on 7/31/16.
- F32,333 shares of restricted stock vested on December 17, 2016. 784 shares were used to pay taxes and 1,549 shares were released.
- F41,608 shares of restricted stock vested on December 17, 2016. 541 shares were used to pay taxes and 1,067 shares were released.
- F51,417 shares of restricted stock vested on December 17, 2016. 477 shares were used to pay taxes and 940 shares were released.
- F61,771 shares of restricted stock vested on December 17, 2016. 596 shares were used to pay taxes and 1,175 shares were released.
- F7The restricted stock units will vest 25% on December 17th annually beginning the date shown.