-----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, LtcyNz2Znug112a6tjmSyPKXPtL8abGX4ZfSCpCQzJXZ49FVPEJ+gtIiuHGBlbBo VzLP93Fpq9zisibkPfV06A== 0000898430-99-000841.txt : 19990310 0000898430-99-000841.hdr.sgml : 19990310 ACCESSION NUMBER: 0000898430-99-000841 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990203 FILED AS OF DATE: 19990309 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ICU MEDICAL INC/DE CENTRAL INDEX KEY: 0000883984 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 330022692 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-19974 FILM NUMBER: 99560966 BUSINESS ADDRESS: STREET 1: 951 CALLE AMANECER CITY: SAN CLEMENTE STATE: CA ZIP: 92769 BUSINESS PHONE: 9493662183 MAIL ADDRESS: STREET 1: 951 CALLE AMANELER CITY: SANCLEMENTE STATE: CA ZIP: 92769 COMPANY DATA: COMPANY CONFORMED NAME: COSTELLO RICHARD A CENTRAL INDEX KEY: 0001073401 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: C/O ICU MEDICAL INC STREET 2: 951 CALLE AMANECER CITY: SAN CLEMENTE STATE: CA ZIP: 92673 BUSINESS PHONE: 9493662183 MAIL ADDRESS: STREET 1: C/O ICU MEDICAL INC STREET 2: 951 CALLE AMANECER CITY: SAN CLEMENTE STATE: CA ZIP: 92673 4 1 FORM 4 - -------- U.S. SECURITIES AND EXCHANGE COMMISSION -------------------------------- FORM 4 Washington, D.C. 20549 OMB APPROVAL - -------- -------------------------------- [_] Check this box if no STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OMB Number: 3235-0287 longer subject to Expires: September 30, 1998 Section 16. Form 4 Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Estimated average burden or Form 5 obligations Section 17(a) of the Public Utility Holding Company Act of 1935 hours per response.......... 0.5 may continue. See or Section 30(f) of the Investment Company Act of 1940 -------------------------------- Instruction 1(b). (Print or Type Responses) - ----------------------------------------------------------------------------------------------------------------------------------- 1. Name and Address of 2. Issuer Name and Ticker or 6. Relationship of Reporting Person to Issuer Reporting Person* Trading Symbol (Check all applicable) Costello Richard A. ICU Medical, Inc. (ICUI) [ ] Director [ ] 10% Owner - ---------------------------------------------------------------------------------- (Last) (First) (Middle) 3. IRS or Social 4. Statement for X Officer (give Other (specify Security Number of Month/Year ---- title ---- below) Reporting Person February 1999 below) 951 Calle Amanecer (Voluntary) - -------------------------------- ---------------------- Vice President Sales (Street) 5. If Amendment, ------------------------------- Date of Original San Clemente, CA 92673 (Month/Year) 7. Individual or Joint/Group Filing (Check Applicable Line) X Form filed by One Reporting Person ----- _____ Form filed by More than One Reporting Person - ------------------------------------------------------------------------------------------------------------------------------------ (City) (State) (Zip) Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Trans- 3. Trans- 4. Securities Acquired (A) 5. Amount of 6. Owner- 7. Nature of (Instr. 3) action action or Disposed of (D) Securities ship Indirect Date Code (Instr. 3, 4 and 5) Beneficially Form: Beneficial (Instr. 8) Owned at Direct Ownership (Month/ ------------------------------------------- End of Month (D) or In- (Instr. 4) Day/ (A) or (Instr. 3 direct (I) Year) Code V Amount (D) Price and 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 2/3/99 X 10.000 A 7.19 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 2/3/99 S 10.000 D 18.75 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 2/10/99 X 5.000 A 7.19 - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 2/10/99 S 5.000 D 20.25 - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 2/19/99 X 3.526 A 7.19 - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 2/19/99 S 3.526 D 20.00 - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 2/22/99 X 2.000 A 7.19 - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 2/22/99 S 2.000 D 20.06 - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 2/26/99 X 5.000 A 7.62 - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 2/26/99 S 5.000 D 20.75 -0- Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) * If the form is filed by more than one reporting person, see Instruction 4(b)(v). SEC 1474 (7-96)
FORM 4 (continued) Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) - ----------------------------------------------------------------------------------------------------------------------------------- 1. Title of Derivative 2. Cover- 3. Trans- 4. Trans- 5. Number of 6. Date Exer- 7. Title and Amount of Security (Instr. 3) sion or action action Derivative cisable and Underlying Securities Exercise Date Code Securities Expiration (Instr. 3 and 4) Price of (Month/ (Instr. 8) Acquired (A) Date (Month/ Deriv- Day/ or Disposed Day/Year) ative Year) of (D) (Instr. ---------------------------------------- Security 3, 4, and 5) Date Expira- Amount or -------------------------------- Exer- tion Title Number of Code V (A) (D) cisable Date Shares * - ------------------------------------------------------------------------------------------------------------------------------------ Options to acquire 7.1875 2/3-22/99 X V 20,526 01/30/99 10/10/07 Common Stock 20,526 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 9.5000 01/02/97 06/16/04 Common Stock 1,000 - ------------------------------------------------------------------------------------------------------------------------------------ 13.6250 01/02/97 12/06/06 Common Stock 3,000 - ------------------------------------------------------------------------------------------------------------------------------------ 7.6250 01/30/99 07/01/08 Common Stock 1,000 - ------------------------------------------------------------------------------------------------------------------------------------ 7.6250 2/26/99 X 5,000 01/30/99 07/01/08 Common Stock 5,541 - ------------------------------------------------------------------------------------------------------------------------------------ 10.3750 01/30/99 09/28/08 Common Stock 1,000 - ------------------------------------------------------------------------------------------------------------------------------------ 10,9375 11/19/07 11/19/08 Common Stock 61,570 - ------------------------------------------------------------------------------------------------------------------------------------ 12.2500 01/02/08 01/02/09 Common Stock 1,000 - ------------------------------------------------------------------------------------------------------------------------------------ 14.6825 02/01/08 07/01/09 Common Stock 1,000 - ------------------------------------------------------------------------------------------------------------------------------------ 21.4375 1/2/99 A V 1,000 1/02/09 01/02/10 Common Stock 1,000 - ------------------------------------------------------------------------------------------------------------------------------------ 16.3438 1/12/99 A V 35,000 01/02/09 01/02/10 Common Stock 35,000 - ----------------------------------------------------------------------------------------------------------------------------------- 1. Title of Derivative 8. Price 9. Number 10. Ownership 11. Nature of Security (Instr. 3) of of Form of Indirect Deriv- Deriv- Derivative Beneficial ative ative Security: Ownership Security Securities Direct (D) (Instr. 4) (Instr. 5) Beneficially or Indirect Owned at (I) End of Month (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ N/A 0 D - ------------------------------------------------------------------------------------------------------------------------------------ N/A 1,000 D - ------------------------------------------------------------------------------------------------------------------------------------ N/A 3,000 D - ------------------------------------------------------------------------------------------------------------------------------------ N/A 1,000 D - ------------------------------------------------------------------------------------------------------------------------------------ N/A 541 D - ------------------------------------------------------------------------------------------------------------------------------------ N/A 1,000 D - ------------------------------------------------------------------------------------------------------------------------------------ N/A 61,570 D - ------------------------------------------------------------------------------------------------------------------------------------ N/A 1,000 D - ------------------------------------------------------------------------------------------------------------------------------------ N/A 1,000 D - ------------------------------------------------------------------------------------------------------------------------------------ N/A 1,000 D - ------------------------------------------------------------------------------------------------------------------------------------ N/A 35,000 D
Explanation of Responses: * For options not yet exercisable, they become exercisable on the dates indicated or earlier on achievement of certain performance objectives as specified in the option agreement. ** Intentional misstatements or /s/ Richard Costello 3/9/1999 omissions of facts constitute ---------------------- -------------- Federal Criminal Violations. **Signature of Date See 18 U.S.C. 1001 and Reporting Person 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. Page 2 SEC 1474 (7-96) -----END PRIVACY-ENHANCED MESSAGE-----