SEC Form 4 · accession 0000937556-15-000101
MASIMO CORP · MASI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven Barker
Director
Period of report
Jun 12, 2015
Accepted (ET)
Jun 16, 2015 · 4:19 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000937556
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jun 12, 2015 | M | 25,000 | $4.6667 | A | 70,000 | D | |
| Common Stock | Jun 12, 2015 | S | 25,000 | $38.00 | D | 45,000 | D | |
| Common Stock | Jun 12, 2015 | M | 5,000 | $4.6667 | A | 50,000 | 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 | $4.6667 | Jun 12, 2015 | M | 25,000 | D | Oct 10, 2006 | Oct 10, 2015 | Common Stock | 25,000 | 35,000 | D |
| Non-Qualified Stock Option (Right to Buy)F2 | $4.6667 | Jun 12, 2015 | M | 5,000 | D | Oct 10, 2006 | Oct 10, 2015 | Common Stock | 5,000 | 30,000 | D |
Explanation of responses
- F1The shares covered by this Form 4 were exercised and sold pursuant to a Rule 10b5-1 Sales Plan dated as of May 21, 2015, which is intended to comply with Rule 10b5-1 promulgated under the Securities Exchange Act of 1934, as amended.
- F2This option was granted on October 10, 2005 and was exercisable as it vested. This option vested over a five-year period, with 20% of the shares subject to the option vesting on each anniversary of the grant date.