UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (Right to Buy) | 02/17/2017(2) | 02/17/2023 | Common Stock | 5,319 (3) | $ 11.02 | D | Â |
Stock Option (Right to Buy) | 02/16/2018(4) | 02/15/2024 | Common Stock | 8,915 | $ 19.28 | D | Â |
Stock Option (Right to Buy) | 02/15/2019(4) | 02/15/2025 | Common Stock | 11,132 | $ 14.29 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Bastarrica Air A. Jr. C/O KNOWLES CORPORATION 1151 MAPLEWOOD DR. ITASCA, IL 60143-2071 |
 |  |  Vice President & Controller |  |
/s/ Mark Pacioni, attorney-in-fact | 06/29/2018 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | This total includes the following unvested Restricted Stock Units: 1,361 units from award dated 2/17/16 and will vest on 2/17/19; 3,112 units from award dated 2/16/17 and 1,556 will vest on 2/16/19 and 1,556 will vest on 2/16/20; and 6,298 units from award dated 2/15/18 that vests ratably over three years commencing on the first anniversary of the award. |
(2) | Option granted under the Knowles Corporation 2014 Equity and Cash Incentive Plan that vests ratably over three years commencing on the first anniversary of the award. |
(3) | The original grant was issued for 7,979 options and 2,660 were previously exercised. The remaining balance on this grant is 5,319. |
(4) | Option granted under the Knowles Corporation 2016 Equity and Cash Incentive Plan that vests ratably over three years commencing on the first anniversary of the award. |