SEC Form 4 · accession 0001225208-16-042453
LEXMARK INTERNATIONAL INC /KY/ · LXK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeri L Isbell
Officer — VP of Human Resources
Period of report
Nov 29, 2016
Accepted (ET)
Dec 1, 2016 · 1:15 pm EST
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 | Nov 29, 2016 | D | 35,739 | $0.00 | D | 0 | D | |
| Class A Common StockF1 | Nov 29, 2016 | D | 28,275 | $0.00 | D | 0 | I | By 401(k) |
| Class A Common StockF1 | Nov 29, 2016 | D | 41,204 | $0.00 | D | 0 | I | By Personal Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock OptionF2 | $63.11 | Nov 29, 2016 | D | 24,000 | D | — | Feb 21, 2017 | Class A Common Stock | 24,000 | 0 | D |
Explanation of responses
- F1Represents shares of Class A Common Stock and restricted stock units, including associated dividend equivalent units, disposed of pursuant to the agreement and plan of merger (the "Merger Agreement") by and among the issuer, Ninestar Holdings Company Limited, Ninestar Group Company Limited, Ninestar Lexmark Company Limited and Apex Technology Co., Ltd. in exchange for $40.50 cash per share, without interest and less any applicable withholding taxes.
- F2Pursuant to the Merger Agreement, this option, which vested and became exercisable in three approximately equal annual installments (34%, 34% and 33%), commencing on February 21, 2008, was cancelled without payment because the exercise price of the option exceeded the merger consideration of $40.50 per share.