SEC Form 4 · accession 0001140361-15-000687
RESMED INC · RMD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter C Farrell
Officer — Chairman of the Board · Director
Period of report
Jan 2, 2015
Accepted (ET)
Jan 6, 2015 · 12:41 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000943819
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| ResMed Common Stock | Jan 2, 2015 | M | 36,000 | $15.52 | A | 203,864 | D | |
| ResMed Common StockF3 | Jan 2, 2015 | S | 36,000 | $56.99 | D | 167,864 | D | |
| ResMed Common StockF4 | holding | — | — | — | 22,783 | I | Peter C. Farrell Grantor Retained Annuity Trust dated December 2012 | |
| ResMed Common StockF4 | holding | — | — | — | 200,000 | I | Peter C. Farrell Grantor Retained Annuity Trust dated March 4, 2014 | |
| ResMed Common StockF4 | holding | — | — | — | 200,000 | I | Peter C. Farrell Grantor Retained Annuity Trust dated October 14, 2014 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| ResMed Common Stock OptionsF2 | $15.52 | Jan 2, 2015 | M | 36,000 | D | Nov 20, 2009 | Nov 20, 2015 | ResMed Common Stock | 36,000 | 85,557 | D |
Explanation of responses
- F1The transaction was conducted under a 10b5-1 Plan as defined under the Securities Exchange Act of 1934, as amended.
- F2Represents date options first became exercisable. Options vest 1/4 annually on the anniversary of the grant.
- F3This transaction was executed in multiple trades at prices ranging from $56.42 to $57.35. The price reported above reflects the weighted average sale price. The reporting person will provide full information regarding the number of shares and prices at which the transaction was effected upon request by the SEC staff, the issuer, or the security holder of the issuer.
- F4Securities held by Larry Poster, Trustee of the Peter C. Farrell Grantor Retained Annuity Trust.