SEC Form 4 · accession 0001189724-16-000010
ICU MEDICAL INC/DE · ICUI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven Riggs
Officer — VP Operations
Period of report
Jan 4, 2016
Accepted (ET)
Jan 5, 2016 · 3:19 pm EST
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 StockF2 | Jan 4, 2016 | S | 1,232 | $107.068 | D | 2,003 | D | |
| Common StockF3 | Jan 4, 2016 | S | 600 | $107.8729 | D | 1,403 | D | |
| Common StockF4 | Jan 4, 2016 | S | 500 | $109.579 | D | 903 | D | |
| Common StockF5 | Jan 4, 2016 | S | 200 | $110.323 | D | 703 | D | |
| Common Stock | Jan 4, 2016 | X | 15,000 | $43.62 | A | 15,703 | D | |
| Common StockF6 | Jan 4, 2016 | S | 3,071 | $105.3648 | D | 12,632 | D | |
| Common StockF7 | Jan 4, 2016 | S | 3,725 | $106.5682 | D | 8,907 | D | |
| Common StockF8 | Jan 4, 2016 | S | 5,400 | $107.3997 | D | 3,507 | D | |
| Common StockF9 | Jan 4, 2016 | S | 950 | $108.3283 | D | 2,557 | D | |
| Common StockF10 | Jan 4, 2016 | S | 854 | $109.3106 | D | 1,703 | D | |
| Common StockF11 | Jan 4, 2016 | S | 1,000 | $110.3862 | D | 703 | 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)F13,F12 | $43.62 | Jan 4, 2016 | X | 15,000 | D | — | Jul 20, 2021 | Common Stock | 15,000 | 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.
- F10The price recorded in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $109.03 to $109.62, inclusive. The reporting person undertakes to provide ICU Medical, Inc., any security holder of ICU Medical, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
- F11The price recorded in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $110.04 to $110.89, inclusive. The reporting person undertakes to provide ICU Medical, Inc., any security holder of ICU Medical, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
- F12Options vest and are exercisable as to 25% of the underlying grant one year after the date of grant and in equal monthly installments thereafter for three additional years.
- F13Transaction is the exercise of a derivative security; see Column 2.
- F2The price recorded in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $106.62 to $107.48, inclusive. The reporting person undertakes to provide ICU Medical, Inc., any security holder of ICU Medical, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
- F3The price recorded in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $107.74 to $108.20, inclusive. The reporting person undertakes to provide ICU Medical, Inc., any security holder of ICU Medical, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
- F4The price recorded in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $109.12 to $110.03, inclusive. The reporting person undertakes to provide ICU Medical, Inc., any security holder of ICU Medical, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
- F5The price recorded in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $110.16 to $110.51, inclusive. The reporting person undertakes to provide ICU Medical, Inc., any security holder of ICU Medical, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
- F6The price recorded in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $105.00 to $105.97, inclusive. The reporting person undertakes to provide ICU Medical, Inc., any security holder of ICU Medical, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
- F7The price recorded in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $106.03 to $107.02, inclusive. The reporting person undertakes to provide ICU Medical, Inc., any security holder of ICU Medical, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
- F8The price recorded in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $107.03 to $108.01, inclusive. The reporting person undertakes to provide ICU Medical, Inc., any security holder of ICU Medical, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
- F9The price recorded in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $108.03 to $109.00, inclusive. The reporting person undertakes to provide ICU Medical, Inc., any security holder of ICU Medical, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.