SEC Form 4 · accession 0001127602-16-054938
COOPER COMPANIES, INC. · COO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carol R Kaufman
Officer — EVP, Sec. & Chief Gov. Officer
Period of report
Jun 6, 2016
Accepted (ET)
Jun 7, 2016 · 6:38 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000711404
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jun 6, 2016 | M | 10,357 | $15.83 | A | 52,050 | D | |
| Common Stock | Jun 6, 2016 | M | 12,143 | $42.65 | A | 64,193 | D | |
| Common StockF1 | Jun 6, 2016 | S | 12,143 | $165.1102 | D | 52,050 | D | |
| Common StockF2 | Jun 6, 2016 | S | 10,357 | $164.0354 | D | 41,693 | D | |
| Common Stock | Jun 7, 2016 | M | 20,857 | $42.65 | A | 62,550 | D | |
| Common Stock | Jun 7, 2016 | M | 6,143 | $15.83 | A | 68,693 | D | |
| Common StockF3 | Jun 7, 2016 | S | 10,000 | $162.3349 | D | 58,693 | D | |
| Common StockF4 | Jun 7, 2016 | S | 17,000 | $163.9178 | D | 41,693 | 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)F5 | $15.83 | Jun 6, 2016 | M | 10,357 | D | — | Oct 29, 2018 | Common Stock | 10,357 | 6,143 | D |
| Stock Options (Right to Buy)F6 | $42.65 | Jun 6, 2016 | M | 12,143 | D | — | Oct 24, 2017 | Common Stock | 12,143 | 20,857 | D |
| Stock Options (Right to Buy)F6 | $42.65 | Jun 7, 2016 | M | 20,857 | D | — | Oct 24, 2017 | Common Stock | 20,857 | 0 | D |
| Stock Options (Right to Buy)F5 | $15.83 | Jun 7, 2016 | M | 6,143 | D | — | Oct 29, 2018 | Common Stock | 6,143 | 0 | D |
Explanation of responses
- F1Sale price represents an average sale price between $165.00 and $165.32.
- F2Sale price represents an average sale price between $164.00 and $164.21.
- F3Sale price represents an average sale price between $162.21 and $163.08.
- F4Sale price represents an average sale price between $163.80 and $164.00.
- F5Grant Date 10/30/08 NQ Date Exer.: One-fourth shall vest on the earlier of (a) 10/30/09 or (b) when the average closing price reaches $17.73; one-fourth shall vest on the earlier of (a) 10/30/10 or (b) when the average closing price reaches $19.00; one-fourth shall vest on the earlier of (a) 10/30/11 or (b) when the average closing price reaches $20.58; one-fourth shall vest on the earlier of (a) 10/30/12 or (b) when the average closing price reaches $22.16.
- F6All shares granted under this option are currently exercisable.