THORATEC CORP Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 10 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-10-28: Reporting owner Burbach Gerhard F; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-06-17: Reporting owner Oulman Roxanne; Form 3; Security Non-Qualified Stock Options (right to buy); Transaction Holding.
- 2011-06-17: Reporting owner Oulman Roxanne; Form 3; Security Non-Qualified Stock Options (right to buy); Transaction Holding.
- 2011-06-17: Reporting owner Oulman Roxanne; Form 3; Security Non-Qualified Stock Options (right to buy); Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2011-10-28 | Burbach Gerhard F Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,896 355,172 owned after | $23.62 exercise price | 2011-11-01 | |
| 2011-06-17 holding as of filing | Oulman Roxanne Officer (VP of Finance, Interim CFO) | 3 | Non-Qualified Stock Options (right to buy) Derivative · Direct | Holding | $17.91 exercise price | 2011-06-17 | ||
| 2011-06-17 holding as of filing | Oulman Roxanne Officer (VP of Finance, Interim CFO) | 3 | Non-Qualified Stock Options (right to buy) Derivative · Direct | Holding | $14.97 exercise price | 2011-06-17 | ||
| 2011-06-17 holding as of filing | Oulman Roxanne Officer (VP of Finance, Interim CFO) | 3 | Non-Qualified Stock Options (right to buy) Derivative · Direct | Holding | $23.93 exercise price | 2011-06-17 | ||
| 2011-06-17 holding as of filing | Oulman Roxanne Officer (VP of Finance, Interim CFO) | 3 | Non-Qualified Stock Options (right to buy) Derivative · Direct | Holding | $29.81 exercise price | 2011-06-17 | ||
| 2011-06-17 holding as of filing | Oulman Roxanne Officer (VP of Finance, Interim CFO) | 3 | Non-Qualified Stock Options (right to buy) Derivative · Direct | Holding | $27.30 exercise price | 2011-06-17 | ||
| 2011-05-19 | Burbach Gerhard F Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −30,000 12,500 owned after | $17.91 exercise price | 2011-05-23 | |
| 2011-03-01 | Smith David V Officer (CFO & EVP) | 4 | Non-Qualified Stock Options (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,000 35,000 owned after | $27.30 exercise price | 2011-03-03 | |
| 2011-03-01 | Burbach Gerhard F Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Options (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $27.30 exercise price | 2011-03-03 | |
| 2011-03-01 | Lehman David Aaron Officer (SVP and General Counsel) | 4 | Non-Qualified Stock Options (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $27.30 exercise price | 2011-03-03 |