SEC Form 4 · accession 0000937556-17-000049
MASIMO CORP · MASI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rick Fishel
Officer — Pres, WW OEM Business...
Period of report
Feb 15, 2017
Accepted (ET)
Feb 17, 2017 · 4:18 pm EST
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 | Feb 15, 2017 | M | 15,000 | $30.06 | A | 35,022 | D | |
| Common StockF2 | Feb 15, 2017 | S | 15,000 | $79.9039 | D | 20,022 | D | |
| Common Stock | Feb 15, 2017 | M | 15,000 | $30.06 | A | 35,022 | D | |
| Common StockF3 | Feb 15, 2017 | S | 15,000 | $79.9017 | D | 20,022 | 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)F4 | $30.06 | Feb 15, 2017 | M | 15,000 | D | Feb 22, 2012 | Feb 22, 2021 | Common Stock | 15,000 | 15,000 | D |
| Non-Qualified Stock Option (Right to Buy)F4 | $30.06 | Feb 15, 2017 | M | 15,000 | D | Feb 22, 2012 | Feb 22, 2021 | Common Stock | 15,000 | 0 | D |
Explanation of responses
- F1The shares covered by this Form 4 were sold pursuant to a Rule 10b5-1 Sales Plan dated as of December 13, 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 $77.40 per share to a high of $80.50 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.
- F3The price reported in Column 4 represents the weighted average sale price per share. The actual sale prices ranged from a low of $77.40 per share to a high of $80.32 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.
- F4This option was granted on February 22, 2011 and is exercisable as the option vests. The option vested over a 5 year period, with 20% of the shares subject to the option vesting on each anniversary of the grant date.