SEC Form 4 · accession 0001073391-16-000009
ICU MEDICAL INC/DE · ICUI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Sherman M.D.
Director
Period of report
Sep 19, 2016
Accepted (ET)
Sep 19, 2016 · 5:22 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000883984
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Sep 19, 2016 | X | 1,500 | $32.07 | A | 70,699 | D | |
| Common Stock | Sep 19, 2016 | X | 1,500 | $34.48 | A | 72,199 | D | |
| Common Stock | Sep 19, 2016 | S | 1,500 | $122.02 | D | 70,699 | D | |
| Common Stock | Sep 19, 2016 | S | 1,500 | $123.00 | D | 69,199 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F2 | $32.07 | Sep 19, 2016 | X | 1,500 | D | Feb 4, 2013 | Feb 4, 2019 | Common Stock | 1,500 | 0 | D |
| Non-Qualified Stock Option (right to buy)F2 | $34.48 | Sep 19, 2016 | X | 1,500 | D | Apr 20, 2013 | Apr 20, 2019 | Common Stock | 1,500 | 0 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on August 19, 2016.
- F2Transaction is the exercise of a derivative security; see Column 2.