SEC Form 4 · accession 0001073398-16-000016
ICU MEDICAL INC/DE · ICUI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert S Swinney
Director
Period of report
May 9, 2016
Accepted (ET)
May 9, 2016 · 7:57 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 | May 9, 2016 | X | 1,875 | $34.785 | A | 19,633 | D | |
| Common Stock | May 9, 2016 | S | 1,875 | $101.40 | D | 17,758 | D | |
| Common Stock | holding | — | — | — | 1,125 | I | by Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (right to buy)F2,F3 | $34.785 | May 9, 2016 | X | 1,875 | D | Nov 16, 2005 | May 16, 2016 | Common Stock | 1,875 | 0 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 23, 2015.
- F2These options were inadvertently titled as incentive stock options when the award was reported on Form 4 filed on April 19, 2005, these are actually Non-Qualified Stock Options.
- F3Transaction is the exercise of a derivative security; see Column 2.