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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. | |||
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. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (Right to Buy) | $ 76.59 | 04/13/2015 | M | 46,667 | (4) | 03/01/2016 | Common Stock | 46,667 | $ 0 | 20,000 | D | ||||
Employee Stock Option (Right to Buy) | $ 30.1 | 04/13/2015 | M | 2,673 | (5) | 03/02/2016 | Common Stock | 2,673 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
NUSSBAUM SAMUEL R MD 120 MONUMENT CIRCLE INDIANAPOLIS, IN 46204 |
EVP & Chief Medical Officer |
/s/ Kathleen S. Kiefer, Attorney in fact | 04/15/2015 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 13, 2015. |
(2) | This transaction was executed in multiple trades at prices ranging from $153.78 to $154.72. The price reported reflects the weighted average sale price. 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 affected. |
(3) | This transaction was executed in multiple trades at prices ranging from $154.79 to $155.59. The price reported reflects the weighted average sale price. 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 affected. |
(4) | The option, representing a right to purchase a total of 66,667 shares, became exercisable in five equal semi-annual installments of 11,111 shares each and one semi-annual installment of 11,112 shares beginning on September 1, 2006, which was the six-month anniversary of the date on which the option was granted. |
(5) | The option, representing a right to purchase a total of 92,285 shares, became exercisable in one semi-annual installment of 15,380 shares and five equal semi-annual installments of 15,381 shares each beginning on September 2, 2009, which was the six-month anniversary of the date on which the option was granted. |