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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 | |
ETKIND ANDREW R MUEHLENTALSTRASSE 2 SCHAFFHAUSEN, V8 8200 |
VP, General Counsel, Secretary |
Andrew R. Etkind | 12/16/2016 | |
**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) | On December 14, 2016 1,074 shares that were acquired by the reporting person pursuant to a previously granted restricted stock units award vested and were paid to the reporting person. Of those 1,074 shares, 60 shares were withheld to pay a resulting tax liability. |
(2) | Includes 8,876 unvested shares acquired pursuant to previously granted restricted stock unit awards. |
(3) | On December 15, 2016 3,398 shares that were acquired by the reporting person pursuant to previously granted restricted stock units awards vested and were paid to the reporting person. Of those 3,398 shares, 191 shares were withheld to pay a resulting tax liability. |
(4) | Includes 5,478 unvested shares acquired pursuant to previously granted restricted stock unit awards. |
(5) | On December 15, 2016, the reporting person received a grant of 4,611 restricted stock units, which vest in three equal annual installments, beginning on December 15, 2017. |
(6) | Includes 10,089 unvested shares acquired pursuant to the December 15, 2016 grant of restricted stock units award and previously granted restricted stock unit awards. |
(7) | The reporting person sold these shares to fund the additional tax liabilities resulting from receiving the shares that were released to him upon vesting of the restricted stock units awards in December 2016. |