UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Restricted Stock Units | 11/16/2018(1) | 11/16/2018(1) | Common Stock | 682 | $ 0 (2) | D | Â |
Restricted Stock Units | 11/14/2019(1) | 11/14/2019(1) | Common Stock | 973 | $ 0 (2) | D | Â |
Restricted Stock Units | 06/06/2020(1) | 06/06/2020(1) | Common Stock | 1,275 | $ 0 (2) | D | Â |
Employee Stock Option (Right to Buy) | 11/16/2016(3) | 11/16/2025 | Common Stock | 2,471 | $ 51.33 | D | Â |
Employee Stock Option (Right to Buy) | 11/14/2017(4) | 11/14/2026 | Common Stock | 3,519 | $ 53.7 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Canal Vega Francisco TWO PRUDENTIAL PLAZA, SUITE 4100 180 NORTH STETSON AVENUE CHICAGO, IL 60601 |
 |  |  SVP & Pres, Surgical Solutions |  |
/s/ Ari D. Mintzer as Attorney-in-Fact for Francisco Canal Vega | 06/21/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Restricted stock units will automatically be converted into shares of common stock at the date indicated unless a previous deferral election has been made. Restricted stock units are entitled to dividend equivalent rights, which accrue on dividend record dates. |
(2) | Restricted stock units convert into common stock on a one-for-one basis. |
(3) | Options vest 25% on each of November 16, 2016, 2017, 2018 and 2019. |
(4) | Options vest 25% on each of November 14, 2017, 2018, 2019 and 2020. |