Statement of Changes in Beneficial Ownership (4)

Date : 07/15/2019 @ 10:56PM
Source : Edgar (US Regulatory)
Stock : Masimo Corporation (MASI)
Quote : 151.25  1.94 (1.30%) @ 1:00AM

Statement of Changes in Beneficial Ownership (4)

FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
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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
                      

1. Name and Address of Reporting Person *

Lee Yongsam
2. Issuer Name and Ticker or Trading Symbol

MASIMO CORP [ MASI ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                      _____ 10% Owner
__ X __ Officer (give title below)      _____ Other (specify below)
EVP & CIO
(Last)          (First)          (Middle)

C/O MASIMO CORPORATION, 52 DISCOVERY
3. Date of Earliest Transaction (MM/DD/YYYY)

7/11/2019
(Street)

IRVINE, CA 92618
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. 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
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. 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
Common Stock   7/11/2019     M    5339   A $21.97   78339   D    
Common Stock   7/11/2019     S (1)    5339   D $151.3295   (2) 73000   D    
Common Stock   7/12/2019     M    5989   A $21.97   78989   D    
Common Stock   7/12/2019     S (1)    5989   D $151.8345   (3) 73000   D    
Common Stock   7/15/2019     M    1172   A $21.97   74172   D    
Common Stock   7/15/2019     S (1)    1172   D $153.9773   (4) 73000   D    

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. 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 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 of Derivative Security: 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
Non-Qualified Stock Option (Right to Buy)   $21.97   7/11/2019     M         5339    5/28/2014   (5) 5/28/2023   Common Stock   5339.0   $21.97   12161   D    
Non-Qualified Stock Option (Right to Buy)   $21.97   7/12/2019     M         5989    5/28/2014   (5) 5/28/2023   Common Stock   5989.0   $21.97   6172   D    
Non-Qualified Stock Option (Right to Buy)   $21.97   7/15/2019     M         1172    5/28/2014   (5) 5/28/2023   Common Stock   1172.0   $21.97   5000   D    

Explanation of Responses:
(1)  The shares covered by this Form 4 were exercised and sold pursuant to a Rule 10b5-1 Sales Plan dated as of May 23, 2019, which is intended to comply with Rule 10b5-1 promulgated under the Securities Exchange Act of 1934, as amended.
(2)  The price reported in Column 4 represents the weighted average sales price per share. The actual sales prices ranged from a low of $149.19 per share to a high of $152.705 per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
(3)  The price reported in Column 4 represents the weighted average sales price per share. The actual sales prices ranged from a low of $150.56 per share to a high of $153.15 per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
(4)  The price reported in Column 4 represents the weighted average sales price per share. The actual sales prices ranged from a low of $151.80 per share to a high of $154.905 per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
(5)  This option was granted on May 28, 2013 and is exercisable as it vested. This option vested over a five-year period, with 20% of the shares subject to the option vesting on each anniversary of the grant date.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Lee Yongsam
C/O MASIMO CORPORATION
52 DISCOVERY
IRVINE, CA 92618


EVP & CIO

Signatures
/s/ David J. Van Ramshorst - Attorney-in-Fact 7/15/2019
** 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 control number.

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