THORATEC CORP Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 18 rows in 2012. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-12-27: Reporting owner Lehman David Aaron; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-12-27: Reporting owner Lehman David Aaron; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-11-26: 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.
- 2012-11-23: 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.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2012-12-27 | Lehman David Aaron Officer (SVP and General Counsel) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,400 16,000 owned after | $17.91 exercise price | 2012-12-31 | |
| 2012-12-27 | Lehman David Aaron Officer (SVP and General Counsel) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,375 0 owned after | $20.34 exercise price | 2012-12-31 | |
| 2012-11-26 | 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 | −6,600 0 owned after | $17.91 exercise price | 2012-11-27 | |
| 2012-11-23 | 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 | −5,000 6,600 owned after | $17.91 exercise price | 2012-11-27 | |
| 2012-11-02 | 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 | −900 11,600 owned after | $17.91 exercise price | 2012-11-06 | |
| 2012-10-17 holding as of filing | Harris Taylor C. Officer (VP, Chief Financial Officer) | 3 | Non-Qualified Stock Options (right to buy) Derivative · Direct | Holding | $33.16 exercise price | 2012-10-17 | ||
| 2012-10-17 holding as of filing | Harris Taylor C. Officer (VP, Chief Financial Officer) | 3 | Non-Qualified Stock Options (right to buy) Derivative · Direct | Holding | $27.30 exercise price | 2012-10-17 | ||
| 2012-10-17 holding as of filing | Harris Taylor C. Officer (VP, Chief Financial Officer) | 3 | Non-Qualified Stock Options (right to buy) Derivative · Direct | Holding | $33.99 exercise price | 2012-10-17 | ||
| 2012-10-15 | Harris Taylor C. Officer (VP, Chief Financial Officer) | 4 | Non-Qualified Stock Options (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,687 7,687 owned after | $34.50 exercise price | 2012-10-17 | |
| 2012-10-04 | Lehman David Aaron Officer (SVP and General Counsel) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,376 0 owned after | $12.45 exercise price | 2012-10-09 | |
| 2012-09-07 | Lehman David Aaron Officer (SVP and General Counsel) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,624 8,376 owned after | $12.45 exercise price | 2012-09-11 | |
| 2012-09-06 | Oulman Roxanne Officer (VP of Finance, Interim CFO) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,400 0 owned after | $17.91 exercise price | 2012-09-10 | |
| 2012-09-06 | Oulman Roxanne Officer (VP of Finance, Interim CFO) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −900 450 owned after | $14.97 exercise price | 2012-09-10 | |
| 2012-07-17 | 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 | −37,500 0 owned after | $14.97 exercise price | 2012-07-19 | |
| 2012-07-17 | Lehman David Aaron Officer (SVP and General Counsel) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 10,000 owned after | $12.45 exercise price | 2012-07-19 | |
| 2012-03-09 | Oulman Roxanne Officer (VP of Finance, Interim CFO) | 4 | Non-Qualified Stock Options (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +19,778 19,778 owned after | $33.99 exercise price | 2012-03-12 | |
| 2012-03-09 | 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) | +28,379 28,379 owned after | $33.99 exercise price | 2012-03-12 | |
| 2012-03-09 | 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) | +133,572 133,572 owned after | $33.99 exercise price | 2012-03-12 |