FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
RESMED INC [ RMD ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 11/19/2020 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
ResMed Common Stock | 11/19/2020 | A(1) | 1,187 | A | $0 | 228,636 | D | |||
ResMed Common Stock | 0 | I | Peter C. Farrell April 2010 Annuity Trust | |||||||
ResMed Common Stock | 200,000 | I | Peter C. Farrell August 2011 Annuity Trust | |||||||
ResMed Common Stock | 0 | I | Peter C. Farrell December 2009 Annuity Trust | |||||||
ResMed Common Stock | 200,000 | I | Peter C. Farrell December 2010 Annuity Trust | |||||||
ResMed Common Stock | 0 | I | Peter C. Farrell December 2011 Annuity Trust | |||||||
ResMed Common Stock | 200,000 | I | Peter C. Farrell December 2012 Annuity Trust | |||||||
ResMed Common Stock | 0 | I | Peter C. Farrell February 2012 Annuity Trust(2) | |||||||
ResMed Common Stock | 0 | I | Peter C. Farrell Grantor Retained Annuity Trust dated December 2012(2) | |||||||
ResMed Common Stock | 200,000 | I | Peter C. Farrell Grantor Retained Annuity Trust dated December 2012 Annuity Trust(3) | |||||||
ResMed Common Stock | 0 | I | Peter C. Farrell Grantor Retained Annuity Trust dated March 4, 2014(2)(4)(5) | |||||||
ResMed Common Stock | 0 | I | Peter C. Farrell Grantor Retained Annuity Trust dated October 14, 2014(2)(4) | |||||||
ResMed Common Stock | 22,783 | I | Peter C. Farrell Grantor Retained Trust dated December 2012(2) | |||||||
ResMed Common Stock | 21,391 | I | Peter C. Farrell July 2010 Annuity Trust | |||||||
ResMed Common Stock | 200,000 | I | Peter C. Farrell November 2010 Annuity Trust(6) | |||||||
ResMed Common Stock | 0 | I | Peter C. Farrell November 2010 Annuity Trusts |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. Shares awarded are restricted stock units. The RSUs vest on the earlier of November 11, 2021, or the annual shareholders meeting in the year following the grant date. |
2. Securities held by Larry Poster, Trustee of the Peter C. Farrell Grantor Retained Annuity Trust. |
3. Securities held by Larry Poster, Trustee of the Peter C. Farrell Grantor Retained Annuity Trust dated December 2012. |
4. Larry Poster is the Trustee of the GRAT. |
5. Securities held by Larry Poster, Trustee of the Peter C. Farrell Grantor Retained Annuity Trust dated March 4, 2014. |
6. Funded as a gift from the Peter C. Farrell Family Trust on November 15, 2010, with a distribution date of November 15, 2011. |
Peter C. Farrell, Chairman | 11/20/2020 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |