|
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 |
|
| |||||||||||||||||||||||||||||||||||||||||||||||||
| |||||||||||||||||||||||||||||||||||||||||||||||||
| 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) |
||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Performance Share Unit | $ 0 | 02/20/2019 | A | 96,600 | (2) | 12/31/2021 | Common Stock | 96,600 | $ 0 | 96,600 | D | ||||
| Restricted Share Unit | $ 0 | 02/20/2019 | M | 46,100 | 02/20/2017(3) | 02/20/2017 | Common Stock | 46,100 | $ 0 (1) | 0 | D | ||||
| Restricted Stock Unit | $ 0 | 02/20/2019 | A | 38,600 | 02/20/2022(3) | 02/20/2022 | Common Stock | 38,600 | $ 0 | 38,600 | D | ||||
| Stock Options (Right to Buy) | $ 17.89 | 02/20/2019 | A | 148,200 | (4) | 02/20/2029 | Common Stock | 148,200 | $ 0 | 148,200 | D | ||||
| Performance Share Unit | $ 0 | (2) | 12/31/2018 | Common Stock | 158,200 | 158,200 | D | ||||||||
| Performance Share Unit | $ 0 | (2) | 12/31/2019 | Common Stock | 103,500 | 103,500 | D | ||||||||
| Performance Share Unit | $ 0 | (2) | 12/31/2020 | Common Stock | 65,600 | 65,600 | D | ||||||||
| Phantom Shares | $ 0 (5) | (5) | (5) | Common Stock | 134,030.1205 | 134,030.1205 | D | ||||||||
| Restricted Share Unit | $ 0 | 02/18/2018(3) | 02/18/2018 | Common Stock | 49,700 | 49,700 | D | ||||||||
| Restricted Share Unit | $ 0 | 02/17/2019(3) | 02/17/2019 | Common Stock | 63,300 | 63,300 | D | ||||||||
| Restricted Share Unit | $ 0 | 02/15/2020(3) | 02/15/2020 | Common Stock | 41,400 | 41,400 | D | ||||||||
| Restricted Share Unit | $ 0 | 02/21/2021(3) | 02/21/2021 | Common Stock | 26,200 | 26,200 | D | ||||||||
| Stock Options (Right to Buy) | $ 22.01 | (6) | 02/21/2028 | Common Stock | 86,400 | 86,400 | D | ||||||||
| Stock Options (Right to Buy) | $ 15.16 | 02/24/2012 | 02/24/2021 | Common Stock | 38,000 | 38,000 | D | ||||||||
| Stock Options (Right to Buy) | $ 14.27 | 02/15/2018 | 02/15/2027 | Common Stock | 123,300 | 123,300 | D | ||||||||
| Stock Options (Right to Buy) | $ 13.09 | 02/20/2015 | 02/20/2024 | Common Stock | 95,300 | 95,300 | D | ||||||||
| Stock Options (Right to Buy) | $ 12.33 | 02/18/2016 | 02/18/2025 | Common Stock | 107,300 | 107,300 | D | ||||||||
| Stock Options (Right to Buy) | $ 9.6 | 02/17/2017 | 02/17/2026 | Common Stock | 185,700 | 185,700 | D | ||||||||
| Stock Options (Right to Buy) | $ 8.25 | 02/25/2011 | 02/25/2020 | Common Stock | 45,000 | 45,000 | D | ||||||||
| Stock Options (Right to Buy) | $ 7.02 | 04/24/2014 | 04/24/2023 | Common Stock | 98,800 | 98,800 | D | ||||||||
| Stock Options (Right to Buy) | $ 6.84 | 02/23/2013 | 02/23/2022 | Common Stock | 45,500 | 45,500 | D | ||||||||
| Stock Options (Right to Buy) | $ 5.29 | 02/21/2014 | 02/21/2023 | Common Stock | 68,800 | 68,800 | D | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Thomas Peter T C/O FERRO CORPORATION 6060 PARKLAND BOULEVARD MAYFIELD HEIGHTS, OH 44124 |
Chairman, President and CEO | |||
| /s/ Benjamin Schlater, Group Vice President and Chief Financial Officer, by Power of Attorney | 02/22/2019 | |
| **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) | Restricted share units convert into Common Stock on a one-to-one basis. |
| (2) | Performance Share Units granted as a performance award, vesting based upon degree of achievement of performance goal. At the end of the performance period, 50% of award is paid in common shares free of restrictions, and 50% is paid in cash. If the final amount is less than 100% of the share units, the balance is forfeited to the company. |
| (3) | The date reflected above as the Date Exercisable is the scheduled vesting date of the Restricted Share Units. Once vested, settlement of the Restricted Share Units and delivery of common shares is subject to an additional two-year holding period. |
| (4) | 33+% per year for 3 years beginning on 20-Feb-2020 |
| (5) | Represent phantom shares awarded under the Company's Supplemental Defined Contribution Plan for Executive Employees. |
| (6) | 33+% per year for 3 years beginning on 21-Feb-2019 |