Sec Form 3 Filing - Auerbach Robert D @ COOPER COMPANIES INC - 2018-07-11

Insider filing report for Changes in Beneficial Ownership
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
What is insider trading>>
FORM 3
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
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Expires: November 30, 2011
Estimated average burden hours per response... 0.5
1. Name and Address of Reporting Person
Auerbach Robert D
2. Issuer Name and Ticker or Trading Symbol
COOPER COMPANIES INC [ COO]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
President, CSI
(Last) (First) (Middle)
C/O THE COOPER COMPANIES, INC., 6140 STONERIDGE MALL ROAD, SUITE 590
3. Date of Earliest Transaction (MM/DD/YY)
07/11/2018
(Street)
PLEASANTON, CA94588
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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 2,272 D
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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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 ( 3 ) ( 1 ) ( 2 ) Common Stock 592 D
Employee Stock Option (Right to Buy) $ 229.66 ( 4 ) 12/12/2027 Common Stock 4,318 D
Employee Stock Option (Right to Buy) $ 175.31 ( 5 ) 12/13/2026 Common Stock 5,113 D
Employee Stock Option (Right to Buy) $ 131.6 ( 6 ) 12/09/2025 Common Stock 4,832 D
Restricted Stock Units ( 3 ) ( 7 ) ( 2 ) Common Stock 666 D
Employee Stock Option (Right to Buy) $ 228.11 ( 8 ) 06/01/2028 Common Stock 1,739 D
Restricted Stock Units ( 3 ) ( 9 ) ( 2 ) Common Stock 750 D
Restricted Stock Units ( 3 ) ( 10 ) ( 2 ) Common Stock 1,089 D
Restricted Stock Units ( 3 ) ( 11 ) ( 2 ) Common Stock 1,026 D
Restricted Stock Units ( 3 ) ( 12 ) ( 2 ) Common Stock 1,109 D
Restricted Stock Units ( 3 ) ( 13 ) ( 2 ) Common Stock 1,026 D
Restricted Stock Units ( 3 ) ( 10 ) ( 2 ) Common Stock 435 D
Restricted Stock Units ( 3 ) ( 11 ) ( 2 ) Common Stock 228 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Auerbach Robert D
C/O THE COOPER COMPANIES, INC.
6140 STONERIDGE MALL ROAD, SUITE 590
PLEASANTON, CA94588
President, CSI
Signatures
/s/ Robert D. Auerbach, M.D. 07/17/2018
Signature of Reporting Person Date
Explanation of Responses:
( 1 )12/12/17 Exec Grant-3 yr cliff: The grant will vest 100% on 2/1/2021.
( 2 )RSU Expiration Date: This award has no expiration date. Units will either vest or be forfeit.
( 3 )RSU Exercise Price: There is no exercise price associated with the grant of Restricted Stock Units.
( 4 )12/12/17 NQ Grant: The options will vest in equal increments on the first through the fifth anniversaries of the date of grant.
( 5 )12/13/16 NQ Grant: The options will vest in equal increments over five years measured from the date of grant as follows: 1/5 shall vest on 12/13/17; 1/5 shall vest on 12/13/18; 1/5 shall vest on 12/13/19; 1/5 shall vest on 12/13/20 and 1/5 shall vest on 12/13/21.
( 6 )12/9/15 NQ Grant: The options will vest in equal increments over five years measured from the date of grant as follows: 1/5 shall vest on 12/9/16; 1/5 shall vest on 12/9/17; 1/5 shall vest on 12/9/18; 1/5 shall vest on 12/9/19 and 1/5 shall vest on 12/9/20.
( 7 )2/1/2017 RSU Grant - Vest Date: The grant vests 100% on February 1, 2020.
( 8 )6/1/18 NQ Grant (mod anni vest): The options will vest in equal increments over five years measured from the date of grant as follows: 1/3 shall vest on 6/1/2021; 1/3 shall vest on 6/1/2022 and 1/3 shall vest on 6/1/2023.
( 9 )Grant Date 12/11/13 RSU Vesting Date: The grant vests in equal portions on the following dates: 1/8/15, 1/8/16, 1/8/17, 1/8/18 and 1/8/19.
( 10 )12/12/17 RSU Grant - Vesting Date: The grant vests in equal portions on the following dates: 1/8/19, 1/8/20, 1/8/21, 1/8/22 and 1/8/23.
( 11 )12/13/16 RSU Grant - Vesting Date: The grant vests in equal portions on the following dates: 1/8/18, 1/8/19, 1/8/20, 1/8/21 and 1/8/22.
( 12 )12/9/14 RSU Grant - Vesting Date: The grant vests in equal portions on the following dates: 1/8/16, 1/8/17, 1/8/18, 1/8/19 and 1/8/20.
( 13 )12/9/15 RSU Grant - Vesting Date: The grant vests in equal portions on the following dates: 1/8/17, 1/8/18, 1/8/19, 1/8/20 and 1/8/21.

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.