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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ORTHWEIN PETER BUSCH C/O THOR INDUSTRIES, INC. 601 EAST BEARDSLEY AVENUE ELKHART, IN 46514-3305 |
X | Exec. Chairman of the Board |
/s/ Peter B. Orthwein | 06/14/2018 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | These shares are held for the benefit of a charitable annuity trust of which the reporting person and his spouse are the trustees and of which the reporting person's three youngest children are the beneficiaries. The reporting person disclaims beneficial ownership of the shares except to the extent of the pecuniary interest of the reporting person, his spouse and his three youngest children in the shares. |
(2) | These shares are held for the account of the Trust FBO Peter B. Orthwein, of which the reporting person is the trustee and beneficiary. |
(3) | These shares are held for the account of the Adolphus Busch Orthwein Trust for the benefit of the reporting person's children. The reporting person is one of the trustees of the trust. |
(4) | These shares are held for the account of a trust for the benefit of the reporting person's half-brother. The reporting person is one of the trustees of the trust. |
(5) | These shares are held for the account of the PBO-BMO Descendants Trust, of which the reporting person is the sole trustee and of which the reporting person's three youngest children are the beneficiaries. The reporting person disclaims beneficial ownership of the shares except to the extent of the pecuniary interest of the reporting person, his spouse and his three youngest children in the shares. |
(6) | Bona fide gift. |
(7) | Of the 3,900 shares gifted by the reporting person on June 14, 2018, 300 were gifted to the reporting person's spouse. |
(8) | These shares are held for the account of the reporting person's spouse. |
(9) | These shares were previously reported as directly beneficially owned, but were contributed to a grantor retained annuity trust on June 14, 2018. |