Statement of Changes in Beneficial Ownership (4)
January 12 2021 - 5:05PM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
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1. Name and Address of Reporting Person
*
Auerbach Robert D |
2. Issuer Name and Ticker or Trading Symbol
COOPER COMPANIES, INC.
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COO
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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) Special Advisor to the CEO |
(Last)
(First)
(Middle)
C/O THE COOPER COMPANIES, INC., 6101 BOLLINGER CANYON ROAD, SUITE 500 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/8/2021 |
(Street)
SAN RAMON, CA 94583
(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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Common Stock | 1/8/2021 | | M | | 342.00 | A | $0.00 | 1744.677 | D | |
Common Stock | 1/8/2021 | | F | | 168.00 | D | $363.23 | 1576.677 | D | |
Common Stock | 1/8/2021 | | M | | 257.00 | A | $0.00 | 1833.677 | D | |
Common Stock | 1/8/2021 | | F | | 126.00 | D | $363.23 | 1707.677 | D | |
Common Stock | 1/8/2021 | | M | | 57.00 | A | $0.00 | 1764.677 | D | |
Common Stock | 1/8/2021 | | F | | 28.00 | D | $363.23 | 1736.677 | D | |
Common Stock | 1/8/2021 | | M | | 218.00 | A | $0.00 | 1954.677 | D | |
Common Stock | 1/8/2021 | | F | | 107.00 | D | $363.23 | 1847.677 | D | |
Common Stock | 1/8/2021 | | M | | 87.00 | A | $0.00 | 1934.677 | D | |
Common Stock | 1/8/2021 | | F | | 43.00 | D | $363.23 | 1891.677 | D | |
Common Stock | 1/8/2021 | | M | | 393.00 | A | $0.00 | 2284.677 | D | |
Common Stock | 1/8/2021 | | F | | 193.00 | D | $363.23 | 2091.677 | D | |
Common Stock | 1/8/2021 | | M | | 755.00 | A | $0.00 | 2846.677 | D | |
Common Stock | 1/8/2021 | | F | | 390.00 | D | $363.23 | 2456.677 | D | |
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) | 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 |
Restricted Stock Units | $0.00 | 1/8/2021 | | M | | | 342.00 | (1) | 12/9/2025 | Common Stock | 342.00 | $0.00 | 0.00 | D | |
Restricted Stock Units | $0.00 | 1/8/2021 | | M | | | 257.00 | (2) | 12/13/2026 | Common Stock | 257.00 | $0.00 | 256.00 | D | |
Restricted Stock Units | $0.00 | 1/8/2021 | | M | | | 57.00 | (3) | 12/13/2026 | Common Stock | 57.00 | $0.00 | 57.00 | D | |
Restricted Stock Units | $0.00 | 1/8/2021 | | M | | | 87.00 | (4) | 12/12/2027 | Common Stock | 87.00 | $0.00 | 174.00 | D | |
Restricted Stock Units | $0.00 | 1/8/2021 | | M | | | 218.00 | (5) | 12/12/2027 | Common Stock | 218.00 | $0.00 | 435.00 | D | |
Restricted Stock Units | $0.00 | 1/8/2021 | | M | | | 393.00 | (6) | 12/11/2028 | Common Stock | 393.00 | $0.00 | 1177.00 | D | |
Restricted Stock Units | $0.00 | 1/8/2021 | | M | | | 755.00 | (7) | 12/10/2029 | Common Stock | 755.00 | $0.00 | 3021.00 | D | |
Explanation of Responses: |
(1) | Vests 342 share(s) on 08-Jan-2017, 342 share(s) on 08-Jan-2018, 342 share(s) on 08-Jan-2019, 342 share(s) on 08-Jan-2020, 342 share(s) on 08-Jan-2021 |
(2) | Vests 257 share(s) on 08-Jan-2018, 257 share(s) on 08-Jan-2019, 256 share(s) on 08-Jan-2020, 257 share(s) on 08-Jan-2021, 256 share(s) on 08-Jan-2022 |
(3) | Vests 57 share(s) on 08-Jan-2018, 57 share(s) on 08-Jan-2019, 57 share(s) on 08-Jan-2020, 57 share(s) on 08-Jan-2021, 57 share(s) on 08-Jan-2022 |
(4) | Vests 87 share(s) on 08-Jan-2019, 87 share(s) on 08-Jan-2020, 87 share(s) on 08-Jan-2021, 87 share(s) on 08-Jan-2022, 87 share(s) on 08-Jan-2023 |
(5) | Vests 218 share(s) on 08-Jan-2019, 218 share(s) on 08-Jan-2020, 218 share(s) on 08-Jan-2021, 218 share(s) on 08-Jan-2022, 217 share(s) on 08-Jan-2023 |
(6) | Vests 393 share(s) on 08-Jan-2020, 393 share(s) on 08-Jan-2021, 392 share(s) on 08-Jan-2022, 393 share(s) on 08-Jan-2023, 392 share(s) on 08-Jan-2024 |
(7) | 20%/year over 5 years - vest date beginning on 08-Jan-2020 |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Auerbach Robert D C/O THE COOPER COMPANIES, INC. 6101 BOLLINGER CANYON ROAD, SUITE 500 SAN RAMON, CA 94583 |
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| Special Advisor to the CEO |
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Signatures
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/s/ Robert D. Auerbach, M.D. | | 1/12/2021 |
**Signature of Reporting Person | Date |
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