SEC Form 4 · accession 0000937556-16-000405
MASIMO CORP · MASI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anand Sampath
Officer — Chief Operating Officer
Period of report
Oct 31, 2016
Accepted (ET)
Nov 2, 2016 · 5:22 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 | Oct 31, 2016 | M | 23,171 | $14.22 | A | 23,171 | D | |
| Common StockF2 | Oct 31, 2016 | S | 23,171 | $55.1158 | D | 0 | D | |
| Common Stock | Oct 31, 2016 | M | 28,174 | $14.22 | A | 28,174 | D | |
| Common Stock | Oct 31, 2016 | S | 28,174 | $55.00 | D | 0 | D | |
| Common Stock | Nov 1, 2016 | M | 13,655 | $14.22 | A | 13,655 | D | |
| Common Stock | Nov 1, 2016 | S | 13,655 | $55.00 | D | 0 | 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 | $14.22 | Oct 31, 2016 | M | 51,345 | D | Apr 13, 2008 | Apr 13, 2017 | Common Stock | 51,345 | 23,655 | D |
| Non-Qualified Stock Option (Right to Buy)F3 | $14.22 | Nov 1, 2016 | M | 13,655 | D | Apr 13, 2008 | Apr 13, 2017 | Common Stock | 13,655 | 10,000 | D |
Explanation of responses
- F1The shares covered by this Form 4 were sold pursuant to a Rule 10b5-1 Sales Plan dated as of September 16, 2016, which is intended to comply with Rule 10b5-1 promulgated under the Securities Exchange Act of 1934, as amended.
- F2The price reported in Column 4 represents the weighted average sale price per share. The actual sale prices ranged from a low of $55.00 per share to a high of $56.15 per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F3This option was granted on April 13, 2007 and is exercisable as the option vested. This option vests over a five year period, with 20% of the shares subject to the option vesting on each anniversary of the grant date.