SEC Form 4 · accession 0001127602-17-001440
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
Dec 21, 2016
Accepted (ET)
Jan 10, 2017 · 4:42 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 Stock | Dec 21, 2016 | G | 15 | $0.00 | D | 41,640 | D | |
| Common Stock | Jan 8, 2017 | M | 882 | $0.00 | A | 42,522 | D | |
| Common StockF1 | Jan 8, 2017 | F | 468 | $0.00 | D | 42,054 | D | |
| Common Stock | Jan 8, 2017 | M | 726 | $0.00 | A | 42,780 | D | |
| Common StockF1 | Jan 8, 2017 | F | 385 | $0.00 | D | 42,395 | D | |
| Common Stock | Jan 8, 2017 | M | 536 | $0.00 | A | 42,931 | D | |
| Common StockF1 | Jan 8, 2017 | F | 285 | $0.00 | D | 42,646 | 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 UnitsF2,F3,F4 | — | Jan 8, 2017 | M | 882 | D | — | — | Common Stock | 882 | 882 | D |
| Restricted Stock UnitsF2,F5,F6 | — | Jan 8, 2017 | M | 726 | D | — | — | Common Stock | 726 | 1,450 | D |
| Restricted Stock UnitsF2,F7,F4 | — | Jan 8, 2017 | M | 536 | D | — | — | Common Stock | 536 | 1,608 | D |
Explanation of responses
- F11/8/2017 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.
- F2RSU Exercise Price: There is no exercise price associated with the grant of Restricted Stock Units.
- F3Grant 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.
- F4RSU Expiration Date: This award has no expiration date. Units will either vest or be forfeit.
- F5Grant 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.
- F6RSU Expiration Date: This award has no expiration date. Units will either vest or be forfeit.
- F712/9/14 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.