SEC Form 4 · accession 0001127602-17-001439
COOPER COMPANIES, INC. · COO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel G McBride
Officer — EVP, COO & Pres-CooperVision
Period of report
Jan 8, 2017
Accepted (ET)
Jan 10, 2017 · 4:39 pm EST
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 StockF1,F2 | Jan 8, 2017 | A | 4,950 | $0.00 | A | 28,594 | D | |
| Common StockF3 | Jan 8, 2017 | F | 2,619 | $0.00 | D | 25,975 | D | |
| Common Stock | Jan 8, 2017 | M | 680 | $0.00 | A | 26,655 | D | |
| Common StockF3 | Jan 8, 2017 | F | 376 | $0.00 | D | 26,279 | D | |
| Common Stock | Jan 8, 2017 | M | 834 | $0.00 | A | 27,113 | D | |
| Common StockF3 | Jan 8, 2017 | F | 461 | $0.00 | D | 26,652 | D | |
| Common Stock | Jan 8, 2017 | M | 709 | $0.00 | A | 27,361 | D | |
| Common StockF3 | Jan 8, 2017 | F | 392 | $0.00 | D | 26,969 | D | |
| Common Stock | holding | — | — | — | 2,120 | I | 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF4,F5,F6 | — | Jan 8, 2017 | M | 680 | D | — | — | Common Stock | 680 | 680 | D |
| Restricted Stock UnitsF4,F7,F8 | — | Jan 8, 2017 | M | 834 | D | — | — | Common Stock | 834 | 1,668 | D |
| Restricted Stock UnitsF4,F9,F6 | — | Jan 8, 2017 | M | 709 | D | — | — | Common Stock | 709 | 2,125 | D |
Explanation of responses
- F11/8/2017 Deferred PSU Release: Shares awarded on achievement of maximum performance targets under Performance Share Awards granted December 14, 2011.
- F2PSU Deferral: Ownership of these shares was deferred for a designated period as provided by the terms of the underlying performance share award agreement.
- F31/8/2017 RSU/PSU Release: Shares withheld to cover applicable tax obligations. A FMV (closing price of the Company's common stock on 1/6/2017) of $177.21 was used.
- F4RSU Exercise Price: There is no exercise price associated with the grant of Restricted Stock Units.
- F5Grant Date 12/12/12 RSU Vesting Date: The grant vests in equal portions on the following dates: 1/8/14, 1/8/15, 1/8/16, 1/8/17 and 1/8/18.
- F6RSU Expiration Date: This award has no expiration date. Units will either vest or be forfeit.
- F7Grant Date 12/11/13 RSU Vesting Date: The grant vests in equal portions on the following dates: 1/8/15, 1/8/16, 1/8/17, 1/8/18 and 1/8/19.
- F8RSU Expiration Date: This award has no expiration date. Units will either vest or be forfeit.
- F912/9/14 RSU Grant - Vesting Date: The grant vests in equal portions on the following dates: 1/8/16, 1/8/17, 1/8/18, 1/8/19 and 1/8/20.