SEC Form 4 · accession 0001225208-15-013000
LEXMARK INTERNATIONAL INC /KY/ · LXK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Martin S Canning
Officer — Executive Vice President
Period of report
May 27, 2015
Accepted (ET)
May 29, 2015 · 4:06 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001001288
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | May 27, 2015 | M | 172,000 | $17.12 | A | 328,664 | D | |
| Class A Common Stock | May 27, 2015 | M | 46,000 | $33.26 | A | 374,664 | D | |
| Class A Common Stock | May 27, 2015 | M | 25,000 | $42.21 | A | 399,664 | D | |
| Class A Common StockF1,F2 | May 27, 2015 | S | 243,000 | $45.5728 | D | 156,664 | D | |
| Class A Common StockF3 | May 28, 2015 | S | 47,500 | $46.1291 | D | 109,164 | D | |
| Class A Common StockF4 | May 29, 2015 | S | 500 | $46.03 | D | 108,664 | D | |
| Class A Common Stock | holding | — | — | — | 8 | I | By 401(k) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option | $33.26 | May 27, 2015 | M | 46,000 | D | Feb 20, 2009 | Feb 20, 2018 | Class A Common Stock | 46,000 | 0 | D |
| Employee Stock Option | $17.12 | May 27, 2015 | M | 172,000 | D | May 15, 2011 | May 15, 2019 | Class A Common Stock | 172,000 | 0 | D |
| Employee Stock Option | $42.21 | May 27, 2015 | M | 25,000 | D | Jul 26, 2008 | Jul 26, 2017 | Class A Common Stock | 25,000 | 0 | D |
Explanation of responses
- F1Of such shares, 182,871 shares were sold to pay the exercise price and broker fees and commissions, pursuant to a broker-assisted cashless exercise.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $45.50 to $45.95, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission upon request full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $46.048 to $46.22, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission upon request full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F435,779 of these securities are restricted stock units (RSUs) and earned performance-based RSUs, including associated dividend equivalent units, which have not yet vested.