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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 | |
LEHMAN JOHN F 450 PARK AVENUE 6TH FLOOR NEW YORK, NY 10022 |
X |
Karen J. Yodis, by Power of Attorney | 10/04/2016 | |
**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 were granted in the form of Deferred Stock Units ("DSUs"), in connection with the cash dividend paid on June 24, 2016 to stockholders of record as of June 10, 2016 (the "Dividend"), with respect to an aggregate of 17,004 vested DSUs granted to the reporting person on various dates, and adjusted for previously declared and paid cash dividends. These DSUs are vested and payable concurrent with the underlying DSUs. |
(2) | These shares were granted in the form of Restricted Stock Units ("RSUs"), in connection with the Dividend, with respect to an aggregate of 30,496.1669 vested RSUs granted to the reporting person on various dates under the EnerSys Deferred Compensation Plan for Non-Employee Directors (the "Plan"), and adjusted for previously declared and paid cash dividends. These RSUs are vested and payable concurrent with the underlying RSUs. |
(3) | These shares were granted in the form of RSUs, in connection with the Dividend, with respect to 17.1563 unvested RSUs granted to the reporting person on October 6, 2015, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs. |
(4) | These shares were granted in the form of RSUs, in connection with the Dividend, with respect to 39.2386 unvested RSUs granted to the reporting person on January 12, 2016, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs. |
(5) | These shares were granted in the form of RSUs, in connection with the Dividend, with respect to 57.1687 unvested RSUs granted to the reporting person on April 12, 2016, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs. |
(6) | These shares were granted in the form of RSUs, in connection with the Dividend, with respect to 68 unvested RSUs granted to the reporting person on July 12, 2016, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs. |