FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 05/01/2018 |
3. Issuer Name and Ticker or Trading Symbol
COOPER COMPANIES INC [ COO ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) 01/02/2013 |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 1,648 | D | |
Common Stock | 283.25 | I | Roth IRA |
Common Stock | 220.976 | I | Traditional IRA |
Common Stock | 796.347 | I | Rollover IRA |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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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: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (Right to Buy) | (1) | 12/11/2023 | Common Stock | 2,396 | 119.89 | D | |
Employee Stock Option (Right to Buy) | (2) | 12/09/2024 | Common Stock | 2,567 | 162.28 | D | |
Employee Stock Option (Right to Buy) | (3) | 12/09/2025 | Common Stock | 3,356 | 131.6 | D | |
Employee Stock Option (Right to Buy) | (4) | 12/13/2026 | Common Stock | 2,841 | 175.31 | D | |
Employee Stock Option (Right to Buy) | (5) | 12/12/2027 | Common Stock | 2,159 | 229.66 | D | |
Employee Stock Option (Right to Buy) | (5) | 12/12/2027 | Common Stock | 1,727 | 229.66 | D | |
Employee Stock Option (Right to Buy) | (6) | 12/12/2027 | Common Stock | 1,779 | 229.66 | D | |
Restricted Stock Units | (7) | (8) | Common Stock | 166 | 0(9) | D | |
Restricted Stock Units | (10) | (8) | Common Stock | 308 | 0(9) | D | |
Restricted Stock Units | (11) | (8) | Common Stock | 570 | 0(9) | D | |
Restricted Stock Units | (12) | (8) | Common Stock | 570 | 0(9) | D | |
Restricted Stock Units | (13) | (8) | Common Stock | 555 | 0(9) | D | |
Restricted Stock Units | (14) | (8) | Common Stock | 544 | 0(9) | D |
Explanation of Responses: |
1. 12/11/13 NQ Grant: The options will vest in equal increments over five years measured from the date of grant as follows: 1/5 shall vest on 12/11/14; 1/5 shall vest on 12/11/15; 1/5 shall vest on 12/11/16; 1/5 shall vest on 12/11/17; and 1/5 shall vest on 12/11/18. |
2. 12/9/14 NQ Grant: The options will vest in equal increments over five years measured from the date of grant as follows: 1/5 shall vest on 12/9/15; 1/5 shall vest on 12/9/16; 1/5 shall vest on 12/9/17; 1/5 shall vest on 12/9/18; and 1/5 shall vest on 12/9/19. |
3. 12/9/15 NQ Grant: The options will vest in equal increments over five years measured from the date of grant as follows: 1/5 shall vest on 12/9/16; 1/5 shall vest on 12/9/17; 1/5 shall vest on 12/9/18; 1/5 shall vest on 12/9/19 and 1/5 shall vest on 12/9/20. |
4. 12/13/16 NQ Grant: The options will vest in equal increments over five years measured from the date of grant as follows: 1/5 shall vest on 12/13/17; 1/5 shall vest on 12/13/18; 1/5 shall vest on 12/13/19; 1/5 shall vest on 12/13/20 and 1/5 shall vest on 12/13/21. |
5. 12/12/17 NQ Grant: The options will vest in equal increments on the first through the fifth anniversaries of the date of grant. |
6. 12/12/17 Exec Grant-3 yr cliff: The grant will vest 100% on 2/1/2021. |
7. Grant Date 12/11/13 RSU Vesting Date: The grant vests in equal portions on the following dates: 1/8/15, 1/8/16, 1/8/17, 1/8/18 and 1/8/19. |
8. RSU Expiration Date: This award has no expiration date. Units will either vest or be forfeit. |
9. RSU Exercise Price: There is no exercise price associated with the grant of Restricted Stock Units. |
10. 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. |
11. 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. |
12. 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. |
13. 2/1/2017 RSU Grant - Vest Date: The grant vests 100% on February 1, 2020. |
14. 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. |
/s/ Brian G. Andrews | 05/03/2018 | |
** Signature of Reporting Person | Date | |
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 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). | ||
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. |