-----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, HKb+cT139qttBVevvoDlw108uGqfPmXeCFOdNfwuBbREjpP+uQW4rhx09q3uvodf VQ2iMeMrG8satWv7BQ2DSA== 0001034469-97-000001.txt : 19970918 0001034469-97-000001.hdr.sgml : 19970918 ACCESSION NUMBER: 0001034469-97-000001 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: 97681329 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: SWEDLOW DAVID B CENTRAL INDEX KEY: 0001034469 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER 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 Swedlow, M.D., David B. 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) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) S.V.P., Medical Affairs and Advanced Technology 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 | |71,500 |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)| | ___________________________________________________________________________________________________________________________________| employee stock option |$14.375 |8/29/|D | |35,000 |D |* |7/15/|common stock|1 | |0 | | | (right to buy) | |97 | | | | | |02 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| employee stock option |$11.625 |8/29/|D | |40,000 |D |* |7/27/|common stock|1 | |0 | | | (right to buy) | |97 | | | | | |03 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| employee stock option |$13.50 |8/29/|D | |40,000 |D |* |7/26/|common stock|1 | |0 | | | (right to buy) | |97 | | | | | |04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| employee stock option |$17.0625|8/29/|D | |10,000 |D |* |12/9/|common stock|1 | |0 | | | (right to buy) | |97 | | | | | |02 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| employee stock option |$26.00 |8/29/|D | |40,000 |D |* |7/25/|common stock|1 | |0 | | | (right to buy) | |97 | | | | | |05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| employee stock option |$22.50 |8/29/|D | |35,000 |D |** |7/23/|common stock|1 | |0 | | | (right to buy) | |97 | | | | | |06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: *Option vests 6.25% three months from the first day of the month following the grant date and 6.25% quarterly thereafter. **6.25% of 35,000 shares vest three months from the first day of the month following the grant date and 6.25% quarterly through 8/1/97; 26,250 shares vest on 8/29/97. SIGNATURE OF REPORTING PERSON Attorney-in-fact for David B. Swedlow, M.D. DATE 9/16/97 -----END PRIVACY-ENHANCED MESSAGE-----