SEC Info  
    Home      Search      My Interests      Help      Sign In      Please Sign In

Auerbach Robert D – ‘4’ for 1/8/20 re: Cooper Companies, Inc.

On:  Friday, 1/10/20, at 6:15pm ET   ·   For:  1/8/20   ·   Accession #:  1562180-20-342   ·   File #:  1-08597

Previous ‘4’:  ‘4’ on 12/12/19 for 12/10/19   ·   Next:  ‘4’ on 2/4/20 for 2/3/20   ·   Latest:  ‘4’ on 2/13/23 for 2/9/23

Find Words in Filings emoji
 
  in    Show  and   Hints

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 1/10/20  Auerbach Robert D                 4                      1:28K  Cooper Companies, Inc.            Solium Capital Inc.

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML      3K 
                Securities by an Insider --                                      
                primarydocument.xml/3.6                                          




        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 

 
SEC Info rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Auerbach Robert D

(Last)(First)(Middle)
C/O THE COOPER COMPANIES, INC.
6101 BOLLINGER CANYON ROAD, SUITE 500

(Street)
SAN RAMONCA94583

(City)(State)(Zip)
2. Issuer Name and Ticker or Trading Symbol
COOPER COMPANIES, INC. [ COO ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
XOfficer (give title below) Other (specify below)
President, CSI
3. Date of Earliest Transaction (Month/Day/Year)
1/8/20
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock 1/8/20M 554A$0.003,092D
Common Stock 1/8/20F 274 (1)D$0.002,818D
Common Stock 1/8/20M 342A$0.003,160D
Common Stock 1/8/20F 159 (1)D$0.003,001D
Common Stock 1/8/20M 57A$0.003,058D
Common Stock 1/8/20F 27 (1)D$0.003,031D
Common Stock 1/8/20M 256A$0.003,287D
Common Stock 1/8/20F 119 (1)D$0.003,168D
Common Stock 1/8/20M 218A$0.003,386D
Common Stock 1/8/20F 102 (1)D$0.003,284D
Common Stock 1/8/20M 87A$0.003,371D
Common Stock 1/8/20F 41 (1)D$0.003,330D
Common Stock 1/8/20M 393A$0.003,723D
Common Stock 1/8/20F 183 (1)D$0.003,540D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Units (2) 1/8/20M 554 (3) (4)Common Stock554$0.000.00D
Restricted Stock Units (2) 1/8/20M 342 (5) (4)Common Stock342$0.00342D
Restricted Stock Units (2) 1/8/20M 256 (6) (4)Common Stock256$0.00513D
Restricted Stock Units (7) 1/8/20M 57 (6) (4)Common Stock57$0.00114D
Restricted Stock Units (2) 1/8/20M 218 (8) (4)Common Stock218$0.00653D
Restricted Stock Units (7) 1/8/20M 87 (8) (4)Common Stock87$0.00261D
Restricted Stock Units (2) 1/8/20M 393 (9) (4)Common Stock393$0.001,570D
Explanation of Responses:
(1)  1/8/20 RSU Release: Shares withheld to cover applicable tax obligations. A FMV (closing price of the Company's common stock on 1/8/20) of $327.65 was used.
(2)  RSU Exercise Price: There is no exercise price associated with the grant of Restricted Stock Units.
(3)  12/9/14 RSU Grant - Vesting Date: The grant vests in equal portions on the following dates: 1/8/16, 1/8/17, 1/8/18, 1/8/19 and 1/8/20.
(4)  RSU Expiration Date: This award has no expiration date. Units will either vest or be forfeit.
(5)  12/9/15 RSU Grant - Vesting Date: The grant vests in equal portions on the following dates: 1/8/17, 1/8/18, 1/8/19, 1/8/20 and 1/8/21.
(6)  12/13/16 RSU Grant - Vesting Date: The grant vests in equal portions on the following dates: 1/8/18, 1/8/19, 1/8/20, 1/8/21 and 1/8/22.
(7)  RSU Exercise Price: There is no exercise price associated with the grant of Restricted Stock Units.
(8)  12/12/17 RSU Grant - Vesting Date: The grant vests in equal portions on the following dates: 1/8/19, 1/8/20, 1/8/21, 1/8/22 and 1/8/23.
(9)  12/11/18 RSU Grant - Vesting Date: The grant vests in equal portions on the following dates: 1/8/20, 1/8/21, 1/8/22, 1/8/23 and 1/8/24.
Remarks:
/s/ Robert D. Auerbach, M.D. 1/10/20
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.
____________
Transaction Codes:
    F    Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3.
    M    Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.

Top
Filing Submission 0001562180-20-000342   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

Copyright © 2024 Fran Finnegan & Company LLC – All Rights Reserved.
AboutPrivacyRedactionsHelp — Thu., Mar. 28, 8:34:44.1am ET