Form 4

FORM 4

 

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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subject to Section 16. Form 4 or
Form 5 obligations may continue.
See Instruction 1(b).

 

  

 

(Print or Type Responses)

1. Name and Address of Reporting Person*          



Johnson, D. R.

 

2. Issuer Name and Ticker or Trading Symbol

Modine Manufacturing Company - MODI

 

6. Relationship of Reporting Person(s) to Issuer
                  (Check all applicable)

  X 

Director

 

10% Owner

 X 

Officer (give
title below)

  

Other (specify
below)

Chairman

(Last)                    (First)                (Middle)

Modine Manufacturing Company

1500 DeKoven Avenue

3. I.R.S. Identification
   Number of Reporting
   Person, if an entity
   (Voluntary)

 

4. Statement for
    Month/Day/Year

 2/03/03



7. Individual or Joint/Group Filing (Check Applicable Line)

5. If Amendment,
    Date of Original
    (Month/Day/Year)

 

 X  

Form filed by One Reporting Person

(Street)

 Racine WI 53403

   

Form filed by More than One Reporting Person

(City)                      (State)                  (Zip)

Table I ¾  Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned

1. Title of Security
    (Instr. 3)

2. Trans-
    action
    Date



  (Month/
    Day/
   Year)

2A.
Deemed
Execution
Date, if
any

  (Month/
    Day/
   Year)

3. Trans-
    action
    Code
    (Instr.8)

4. Securities Acquired (A)
    or Disposed of (D)
    (Instr. 3, 4 and 5)

5. Amount of
    Securities
    Beneficially
    Owned
    Following
    Reported
    Transaction(s)

    (Instr. 3 and 4)

6. Owner-
    ship
    Form:
    Direct
    (D) or
    Indirect
    (I)

  (Instr. 4)

7. Nature of
    Indirect
    Beneficial
    Owner-
    ship



   (Instr. 4)

Code

V

Amount

(A)
or
(D)

Price

Common Stock

              

1,560.5571

I

By 401(k)

Common Stock

              

17,139.7129

I

By ESOP

Common Stock

              

2,288

I

By Wife

Common Stock

              

74,798.71

D

  

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

*

If the form is filed by more than one reporting person, see Instruction 4(b)(v).

 

                                                                                                                 

Persons who respond to the collection of information contained
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(Over)
SEC 1474 (9-02)

 

 

FORM 4 (continued)

Table II ¾  Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative
    Security
    (Instr. 3)

2. Conver-
    sion or
    Exercise
    Price of
    Deri-
    vative
   Security

3. Trans-
    action
    Date

(Month/
 Day/
Year)

3A.
Deemed
Execution
Date, if
any

  (Month/
   Day/
  Year)

4. Trans-
    action
    Code
    (Instr.8)

5. Number of Deriv-
    ative Securities Ac-
    quired (A) or Dis-
    posed of (D)
    (Instr. 3, 4 and 5)

6. Date Exer-
    cisable and
    Expiration
    Date
    (Month/Day/
    Year)

7. Title and Amount of
    Underlying Securities
    (Instr. 3 and 4)

8. Price
    of
    Deriv-
    ative
    Secur-
    ity
    (Instr.
    5)

9. Number
   of deriv-
   ative
   Secur-
   ities
   Bene-
   ficially
   Owned
   Follow-
   ing
   Reported
   Trans-
   action(s)
   (Instr. 4)

10. Owner-
     ship
     Form of
     Deri-
     vative
     Security:
     Direct
     (D) or
     Indirect
     (I)
     (Instr. 4)

11. Nature
     of
     Indirect
     Benefi-
     cial
     Owner-
     ship
     (Instr. 4)

Code

V

(A)

(D)

Date
Exer-
cisable

Expira-
tion
Date

Title

Amount or
Number of
Shares

Options with tandem tax withholding rights

$18.25

            

1/20/
1993

1/20
2003

Common Stock

26,000

  

26,000

D

  

Options with tandem tax withholding rights

$30.00

            

1/19/
1994

1/19
2004

Common Stock

19,000

  

19,000

D

  

Options with tandem tax withholding rights

$28.50

            

1/18
1995

1/18/
2005

Common Stock

20,000

  

20,000

D

  

Options with tandem tax withholding rights

$22.75

            

1/17/
1996

1/17/
2006

Common Stock

25,000

  

25,000

D

  

Options with tandem tax withholding rights

$25.25

            

1/15/
1997

1/15/
2007

Common Stock

25,000

  

25,000

D

  

Options with tandem tax withholding rights

$33.9375

  

 

      

 

1/21/
1998

1/21/
2008

Common Stock

30,000

 

30,000

D

 

Options with tandem tax withholding rights

$33.25

  

 

  

 

  

 

1/20/
1999

1/20
2009

Common Stock

30,000

 

30,000

D

 

Options with tandem tax withholding rights

$25.00

  

 

  

 

  

 

1/19/
2000

1/19/
2010

Common Stock

35,000

 

35,000

D

 

Options with tandem tax withholding rights

$23.25

            

1/17/
2001

1/17/
2011

Common Stock

35,000

  

35,000

D

  

Options with tandem tax withholding rights

$22.78

  

 

  

 

  

 

1/16/
2002

1/16/
2012

Common Stock

50,000

 

50,000

D

 

Options with tandem tax withholding rights

$18.53

            

1/06/
2003

1/06/
2013

Common Stock

26,400

  

26,400

D

  

Phantom Stock (1)

1 for 1

(2)

  

A

  

768

  

(5)

(5)

Common Stock

768

(2)

      

Phantom Stock (1)

1 for 1

(3)

  

A

  

776

  

(5)

(5)

Common Stock

776

(3)

      

Phantom Stock (1)

1 for 1

(4)

  

A

  

1,421

  

(5)

(5)

Common Stock

1,421

(4)

      

Phantom Stock (1)

1 for 1

            

(5)

(5)

Common Stock

4,071(6)

  

4,071(6)

D

  

Phantom Stock(1)

1 for 1

2/03/03

  

D

    

4,071

(7)

(7)

Common Stock

4,071

$16.20

0

D

  

Phantom Stock Units

1 for 1

2/03/03

  

A

  

5,326.2919

  

(8)

(8)

Common Stock

5,326.2919

        

Phantom Stock Units

1 for 1

            

(8)

(8)

Common Stock

13,186.0761(9)

  

13,186.0761(9)

D

  

 


Explanation of Responses:

    The plans under which these options were granted, which complies with Rule 16b-3, allows for the provision of tax withholding rights.
    The Reporting Person is a participant in the Modine Employee Stock Ownership Plan (ESOP), Modine Common Stock Fund Units and the Modine Manufacturing Company Pension Trusts. The entities (with the exception of the Modine Common Stock Fund) are also Reporting Persons pursuant to Section 16(a) and files separate statements. Shares held by the Reporting Person in the Plan or Trust are reported on this Statement and on statements filed by the Plan.
         

 

 

s/D. R. Johnson

          

February 5, 2003

**

Intentional misstatements or omissions of facts constitute Federal Criminal Violations.

**Signature of Reporting Person

          

Date
 

See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

                                                                                 

          

                                

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
         see Instruction 6 for procedure.

 

     

 

 

 

 

     

 

Potential persons who are to respond to the collection of information contained in this form are not
required to respond unless the form displays a currently valid OMB Number.

 

     

 

 

 

     

 

Name and Address of Reporting Person:

D. R. Johnson

Modine Manufacturing Company

1500 DeKoven Avenue

Racine, WI 53403

Issuer Name and Ticker or Trading Symbol:

Modine Manufacturing Company - MODI

Statement for Month/Date/Year:

2/03/03

 

(1) This report excludes shares of phantom stock acquired pursuant to the Modine Manufacturing Company Executive Supplemental Stock Plan (the "Plan") prior to August 15, 1996, that were excludable from the definition of "derivative securities" pursuant to    former Rule 16a-1(c)(3) and remain outside the scope of Section 16.

(2) These shares of phantom stock were accrued under the Plan on various dates from August 15, 1996 through March 31, 1997 at prices ranging from $25.00 to $27.00 per share.

(3) These shares of phantom stock were accrued under the Plan on various dates during the fiscal year ended March 31, 1998 at prices ranging from $29.625 to $35.375 per share.

(4) These shares of phantom stock were accrued under the Plan on various dates during the fiscal year ended March 31, 1999 at prices ranging from $25.250 to $37.750 per share.

(5) The shares of phantom stock become payable in cash upon the reporting person's retirement or other termination of employment.

(6) Includes phantom shares acquired pursuant to a dividend reinvestment feature of the Plan in transactions exempt from Section 16 pursuant to Rule 16a-11.

(7) These shares of phantom stock are being settled in cash upon termination of the Plan.

(8) These phantom stock units were accrued under the Modine Manufacturing Company Non-Qualified Deferred Compensation Plan and are to be settled in cash following the    reporting person's retirement or other termination of employment.

(9) Includes phantom stock units acquired pursuant to a dividend reinvestment feature of the Modine Manufacturing Company Non-Qualified Deferred Compensation Plan in    transactions exempt from Section 16 pursuant to Rule 16a-11.