Statement of Changes in Beneficial Ownership (4)
September 13 2016 - 6:03PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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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1. Name and Address of Reporting Person
*
Hall Shannon
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2. Issuer Name
and
Ticker or Trading Symbol
BIO RAD LABORATORIES INC
[
BIO, BIOB
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Executive Vice President
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(Last)
(First)
(Middle)
C/O BIO-RAD LABORATORIES, INC., 1000 ALFRED NOBEL DRIVE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
9/10/2016
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(Street)
HERCULES, CA 94547
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Bio-Rad A Common Stock
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9/10/2016
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M
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240
(1)
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A
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$0
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667.012
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D
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Bio-Rad A Common Stock
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9/11/2016
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M
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840
(1)
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A
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$0
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1507.012
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D
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Bio-Rad A Common Stock
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9/12/2016
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S
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414
(2)
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D
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$155.0169
(3)
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1093.012
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Restricted Stock Units
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$0
(4)
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9/10/2016
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M
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240
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(5)
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(5)
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Bio-Rad A Common Stock
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240
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$0
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720
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D
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Restricted Stock Units
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$0
(4)
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9/11/2016
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M
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240
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(6)
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(6)
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Bio-Rad A Common Stock
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240
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$0
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480
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D
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Restricted Stock Units
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$0
(4)
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9/11/2016
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M
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600
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(7)
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(7)
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Bio-Rad A Common Stock
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600
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$0
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2400
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D
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Explanation of Responses:
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(
1)
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Shares of Class A common stock acquired on the vesting of restricted stock units.
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(
2)
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Sold by the issuer on behalf of the reporting person to satisfy certain tax obligations in connection with the vesting of restricted stock units, all in accordance with a restricted stock unit award agreement.
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(
3)
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The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $155.0162 to $155.0174, inclusive. The reporting person undertakes to provide to Bio-Rad Laboratories, Inc., any security holder of Bio-Rad Laboratories, Inc., or the staff of the Securites and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
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(
4)
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Each restricted stock unit represents a contingent right to receive one share of Bio-Rad Class A common stock.
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(
5)
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The restricted stock units vest in five equal annual installments beginning September 10, 2015.
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(
6)
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The restricted stock units vest in five equal annual installments beginning September 11, 2014.
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(
7)
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The restricted stock units vest in five equal annual installments beginning September 11, 2016.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Hall Shannon
C/O BIO-RAD LABORATORIES, INC.
1000 ALFRED NOBEL DRIVE
HERCULES, CA 94547
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Executive Vice President
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Signatures
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/s/ Ronald W. Hutton, Attorney-in-fact
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9/13/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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 control number.
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