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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 | ||||||||
Stock Options (right-to-buy) | $ 6.52 | 06/07/2018 | M | 36,459 | (9) | 05/04/2021 | Common Stock | 36,459 | $ 0 | 0 | D | ||||
Stock Options (right-to-buy) | $ 6.52 | 06/08/2018 | M | 8,818 | (9) | 05/04/2021 | Common Stock | 8,818 | $ 0 | 0 | D | ||||
Stock Options (right-to-buy) | $ 6.68 | 06/08/2018 | M | 16,100 | (10) | 02/20/2019 | Common Stock | 16,100 | $ 0 | 0 | D | ||||
Stock Option (right-to-buy) | $ 8.53 | 06/08/2018 | M | 14,479 | (11) | 08/07/2019 | Common Stock | 14,479 | $ 0 | 0 | D | ||||
Stock Options (right-to-buy) | $ 10.04 | 06/08/2018 | M | 6,806 | (12) | 04/26/2020 | Common Stock | 6,806 | $ 0 | 0 | D | ||||
Stock Options (right-to-buy) | $ 10.04 | 06/11/2018 | M | 13,394 | (12) | 04/26/2020 | Common Stock | 13,394 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SHERMAN JENNIFER L 1415 W. 22ND STREET SUITE 1100 OAK BROOK, IL 60523 |
X | President & CEO |
Daniel A. DuPre, attorney-in-fact for Jennifer L. Sherman | 06/11/2018 | |
**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) | 692.712 shares were acquired through the dividend reinvestment plan. |
(2) | This transaction was executed in multiple trades at prices ranging from $24.25 to $24.68; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC, Federal Signal Corporation, or a security holder of Federal Signal Corporation. |
(3) | This transaction was executed in multiple trades at prices ranging from $24.18 to $24.20; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC, Federal Signal Corporation, or a security holder of Federal Signal Corporation. |
(4) | This transaction was executed in multiple trades at prices ranging from $24.18 to $24.22; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC, Federal Signal Corporation, or a security holder of Federal Signal Corporation. |
(5) | This transaction was executed in multiple trades at prices ranging from $24.30 to $24.34; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC, Federal Signal Corporation, or a security holder of Federal Signal Corporation. |
(6) | This transaction was executed in multiple trades at prices ranging from $24.18 to $24.24; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC, Federal Signal Corporation, or a security holder of Federal Signal Corporation. |
(7) | This transaction was executed in multiple trades at prices ranging from $24.20 to $24.27; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC, Federal Signal Corporation, or a security holder of Federal Signal Corporation. |
(8) | Shares held in account under the Federal Signal Corporation Retirement Savings Plan 401(k) dated January 1, 2007. |
(9) | The option vested in three equal installments on May 4, 2012, 2013, and 2014. |
(10) | The option vested in three equal installments on February 20, 2010, 2011, and 2012. |
(11) | The option vested in three equal installments on August 7, 2010, 2011, and 2012. |
(12) | The option vested in three equal installments on April 26, 2011, 2012, and 2013. |