SEC Form 4 · accession 0001410442-17-000009
ICU MEDICAL INC/DE · ICUI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Vivek Jain
Officer — Chairman and CEO · Director
Period of report
Oct 9, 2017
Accepted (ET)
Oct 11, 2017 · 5:02 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 | Oct 9, 2017 | X | 2,200 | $58.79 | A | 44,111 | D | |
| Common StockF1,F2 | Oct 9, 2017 | S | 200 | $190.00 | D | 43,911 | D | |
| Common StockF1,F2 | Oct 9, 2017 | S | 2,000 | $191.00 | D | 41,911 | D | |
| Common Stock | Oct 10, 2017 | X | 5 | $58.79 | A | 41,916 | D | |
| Common StockF1,F2 | Oct 10, 2017 | S | 5 | $190.00 | D | 41,911 | 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)F3 | $58.79 | Oct 9, 2017 | X | 2,200 | D | — | Feb 24, 2024 | Common Stock | 2,200 | 580,166 | D |
| Non-Qualified Stock Option (right to buy)F3 | $58.79 | Oct 10, 2017 | X | 5 | D | — | Feb 24, 2024 | Common Stock | 5 | 580,161 | 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 September 7, 2017.
- F2All shares sold were sold at the exact price disclosed.
- F3Options 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.