-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, TX70b38N2xiFPLGCvwiaWIyKgIYrg4eAulV1ZlprzkhdLPWrrdyYErNdH+CMYpIw oeL4DGr6IpCZbzMijF6FPQ== 0001034455-97-000003.txt : 19970918 0001034455-97-000003.hdr.sgml : 19970918 ACCESSION NUMBER: 0001034455-97-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970829 FILED AS OF DATE: 19970916 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NELLCOR PURITAN BENNETT INC CENTRAL INDEX KEY: 0000799290 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 942789249 STATE OF INCORPORATION: DE FISCAL YEAR END: 0706 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 033-04683 FILM NUMBER: 97681327 BUSINESS ADDRESS: STREET 1: 4280 HACIENDA DR CITY: PLEASANTON STATE: CA ZIP: 94588 BUSINESS PHONE: 5104634000 MAIL ADDRESS: STREET 1: 4280 HACIENDA DRIVE CITY: PLEASANTON STATE: CA ZIP: 94588 FORMER COMPANY: FORMER CONFORMED NAME: NELLCOR DELAWARE INC DATE OF NAME CHANGE: 19860929 COMPANY DATA: COMPANY CONFORMED NAME: GRAFTON FREDERICK M CENTRAL INDEX KEY: 0001034455 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 4280 HACIENDA DR CITY: PLEASANTON STATE: CA ZIP: 94588 BUSINESS PHONE: 5104634000 MAIL ADDRESS: STREET 1: 4280 HACIENDA DR CITY: PLEASANTON STATE: CA ZIP: 94588 4 1 FORM 4 - 8/97 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP (X) Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). 1. Name and Address of Reporting Person Grafton, Frederick M. c/o Nellcor Puritan Bennett Incorporated 4280 Hacienda Drive Pleasanton, CA 94588 U.S.A. 2. Issuer Name and Ticker or Trading Symbol Nellcor Puritan Bennett Incorporated NELL 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year 8/97 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) (X) Director ( ) 10% Owner ( ) Officer (give title below) ( ) Other (specify below) 7. Individual or Joint/Group Filing (Check Applicable Line) (X) Form 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 |2. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | | Transaction | or Disposed of (D) | Securities |ect | Beneficial Ownership | | | | | Beneficially |(D)or | | | | | | | A/| | Owned at |Indir | | | Date |Code|V| Amount | D | Price | End of Month |ect(I)| | ___________________________________________________________________________________________________________________________________| common stock |8/29/9|U | |10,000 |D |$28.50 |0 | | | |7 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Con- |3. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Security |version |Transaction | rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | |or Exer | | | rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |Price of| | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva- | | | |Date |Expir| | |ficially |Ind| | |tive | | | | A/|Exer-|ation| Title and Number | |Owned at |ire| | |Secu- | | | | | D |cisa-|Date | of Shares | |End of |ct | | |rity |Date |Code|V| Amount | |ble | | | |Month |(I)| | ___________________________________________________________________________________________________________________________________| non-employee director |$18.00 |8/29/|D | |10,000 |D |8/29/|7/6/0|common stock|1 | |0 | | | stock option | |97 | | | | |97 |7 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| (right to buy) | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| non-employee director |$11.75 |8/29/|D | |20,000 |D |* |7/5/9|common stock|1 | |0 | | | stock option | |97 | | | | | |8 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| (right to buy) | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| non-employee director |$13.25 |8/29/|D | |10,000 |D |* |7/3/9|common stock|1 | |0 | | | stock option | |97 | | | | | |9 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| (right to buy) | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| non-employee director |$22.344 |8/29/|D | |10,000 |D |* |7/2/0|common stock|1 | |0 | | | stock option | |97 | | | | | |5 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| (right to buy) | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| non-employee director |$24.00 |8/29/|D | |10,000 |D |* |7/7/0|common stock|1 | |0 | | | stock option | |97 | | | | | |6 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| (right to buy) | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: *option vests 50% six months from grant date and 25% quarterly thereafter. SIGNATURE OF REPORTING PERSON Attorney-in-fact for Frederick M. Grafton DATE 9/16/97 -----END PRIVACY-ENHANCED MESSAGE-----