SEC Form 4 · accession 0001225208-16-039536
LEXMARK INTERNATIONAL INC /KY/ · LXK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronaldo M Foresti
Officer — Vice President
Period of report
Sep 16, 2016
Accepted (ET)
Sep 20, 2016 · 4:08 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 StockF1,F2 | Sep 16, 2016 | A | 217 | $0.00 | A | 99,747 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Dividend Equivalent UnitsF3,F4,F5 | — | Sep 16, 2016 | A | 16 | A | — | — | Class A Common Stock | 16 | 159 | D |
Explanation of responses
- F1Represents dividend equivalent units (DEUs) accrued on restricted stock units (RSUs) and earned performance-based RSUs (PRSUs) granted to the Reporting Person under the Issuer's Stock Incentive Plans. DEUs are settled in shares of the Issuer's Class A Common Stock upon the vesting of the underlying RSUs or PRSUs.
- F221,984 of these securities are RSUs and earned PRSUs, including associated DEUs, which have not yet vested.
- F3DEUs accrued on elective and supplemental deferred stock units (DSUs) granted by the Issuer under the Issuer's stock incentive plan in connection with the Reporting Person's deferral of compensation. DEUs are settled in shares of the Issuer's Class A Common Stock upon the settlement of the underlying DSUs.
- F4Each DEU represents a right to receive one share of the Issuer's Class A Common Stock.
- F5DEUs are settled in shares of the Issuer's Class A Common Stock upon the settlement of the underlying DSUs.