FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 09/04/2012 |
3. Issuer Name and Ticker or Trading Symbol
ZIMMER HOLDINGS INC [ ZMH ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 8,404 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Phantom Stock Units(1) | (3) | (3) | Common Stock | 5,420 | (2) | D | |
Phantom Stock Appreciation Right Units(1) | (4) | (4) | Common Stock | (5) | (2) | D |
Explanation of Responses: |
1. The phantom stock units and phantom stock appreciation right units were accrued under the Zimmer Holdings, Inc. ("Company") Independent Sales Representatives Deferred Annual Final Compensation and Equity Incentive Plan. |
2. The Conversion or Exercise Price of Derivative Security is 1-for-1. |
3. Phantom stock units are to be settled in shares of Company common stock in five annual installments following separation of service with the Company. |
4. The phantom stock appreciation right units are to be settled in shares of Company common stock at the earlier of separation of service with the Company or January 31, 2016 with the number of shares determined as provided in footnote 5. Any shares would be issued in five annual installments following separation of service with the Company. |
5. The number of shares of Common Stock to be issued in settlement of the phantom stock appreciation right units will be equal to 5,757 multiplied by ($70.48 minus the average of the high and low sales prices of Company common stock on the settlement date) and then divided by such average price. If the average price is less than or equal to $70.48, no shares would be issued in settlement. |
Remarks: |
Heather J. Kidwell, Attorney-in-Fact for Joseph A. Cucolo (power of attorney attached) | 09/06/2012 | |
** 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 5 (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. |