Form 4 THORATEC CORP For: May 21 Filed by: GROSSMAN D KEITH
May 26, 2015 6:10 PM EDT
| 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
|
| OMB APPROVAL |
| OMB Number: |
3235-0287 |
| Expires: |
December 31, 2014 |
| Estimated average burden |
| hours per response: |
0.5 |
|
|
|
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)
|
2. Issuer Name
and
Ticker or Trading Symbol
THORATEC CORP
[
THOR
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
| X |
Director |
|
10% Owner |
| X |
Officer (give title below) |
|
Other (specify below) |
| President & Chief Exec Officer |
|
3. Date of Earliest Transaction
(Month/Day/Year)
05/21/2015
|
4. If Amendment, Date of Original Filed
(Month/Day/Year)
|
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.
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 |
|
Common Stock
|
05/21/2015 |
|
F |
|
2,069
|
D
|
$
45.15
|
176,406
|
D
|
|
|
Common Stock
|
05/21/2015 |
|
G |
|
3,436
|
D
|
$
0
|
172,970
|
D
|
|
|
Common Stock
|
05/21/2015 |
|
G |
|
3,436
|
A
|
$
0
|
30,204
|
I
|
By Separate Property Trust
|
|
Common Stock
|
05/26/2015 |
|
F |
|
1,004
|
D
|
$
45.48
|
171,966
|
D
|
|
|
Common Stock
|
05/26/2015 |
|
G |
|
1,664
|
D
|
$
0
|
170,302
|
D
|
|
|
Common Stock
|
05/26/2015 |
|
G |
|
1,664
|
A
|
$
0
|
31,868
|
I
|
By Separate Property Trust
|
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
|
|---|
| 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: |
|
|
|
|
/s/D. Keith Grossman |
05/26/2015 |
|
** 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. |
POWER OF ATTORNEY FOR SECTION 16 REPORTING
The undersigned hereby appoints David A. Lehman, in his capacity as Senior Vice President and General Counsel of Thoratec Corporation (the "Company"), Taylor C. Harris, in his capacity as Vice President and Chief Financial Officer of the Company, and any of them with full power of substitution or their respective successors in any such offices, as the attorney-in-fact of the undersigned to execute and file with the Securities and Exchange Commission ("SEC") and any other authority required by the rules and regulations of the SEC or any market or exchange on which shares of the Company are traded and to submit to the Company, in the place and stead of the undersigned, SEC Forms 3, 4 and 5 and any successor reporting forms required by the SEC in connection with purchases and sales of securities of the Company. This Power of Attorney supersedes and revokes all previous Powers of Attorney executed for the undersigned with respect to the filings of SEC Forms 3, 4 and 5 regarding the purchases and sales of securities of the Company and shall be effective until revoked by a written instrument executed by the undersigned and delivered to the Company at its headquarters to the attention of the General Counsel.
| By: |
/s/ D. Keith Grossman |
| Title: |
President, Chief Executive Officer |
Thoratec Corporation
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