Filing Details

Accession Number:
0001209191-12-055996
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-12-05 18:05:19
Reporting Period:
2012-12-03
Filing Date:
2012-12-05
Accepted Time:
2012-12-05 18:05:19
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
868368 Rochester Medical Corporation ROCM Surgical & Medical Instruments & Apparatus (3841) 411613227
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1033090 J Philip Conway 2121 Balsam Court
Rochester MN 55902
Vice President No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2012-12-03 10,000 $4.13 404,143 No 4 M Direct
Common Stock Disposition 2012-12-03 10,000 $10.83 394,143 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option (Right to Buy) Disposition 2012-12-03 10,000 $0.00 10,000 $4.13
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2004-01-02 2013-01-02 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 9,600 Indirect By Spouse IRA
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Stock Option (Right to Buy) $4.63 2005-01-02 2014-01-02 12,000 12,000 Direct
Common Stock Stock Option (Right to Buy) $4.70 2006-01-01 2015-01-01 30,000 30,000 Direct
Common Stock Stock Option (Right to Buy) $5.70 2007-01-26 2016-01-26 20,000 20,000 Direct
Common Stock Stock Option (Right to Buy) $12.30 2007-11-21 2016-11-21 20,000 20,000 Direct
Common Stock Stock Option (Right to Buy) $11.23 2009-02-06 2018-02-06 20,000 20,000 Direct
Common Stock Stock Option (Right to Buy) $11.27 2010-02-03 2019-02-03 20,000 20,000 Direct
Common Stock Stock Option (Right to Buy) $12.27 2011-01-28 2020-01-28 20,000 20,000 Direct
Common Stock Stock Option (Right to Buy) $10.72 2012-01-27 2021-01-27 20,000 20,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2014-01-02 12,000 12,000 Direct
2015-01-01 30,000 30,000 Direct
2016-01-26 20,000 20,000 Direct
2016-11-21 20,000 20,000 Direct
2018-02-06 20,000 20,000 Direct
2019-02-03 20,000 20,000 Direct
2020-01-28 20,000 20,000 Direct
2021-01-27 20,000 20,000 Direct
Footnotes
  1. The price in Column 4 is a weighted average. The prices actually received ranged from $10.74 to $10.95. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
  2. Vest as to 25% annual cumulative installments beginning one year from date of grant, beginning the date shown.