SEC Form 4 · accession 0001209191-16-105266
FAIRMOUNT SANTROL HOLDINGS INC. · FMSA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jenniffer D. Deckard
Officer — President and CEO · Director
Period of report
Mar 1, 2016
Accepted (ET)
Mar 3, 2016 · 4:14 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001010858
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Mar 1, 2016 | A | 50,000 | $0.00 | A | 128,486 | D | |
| Common StockF3,F4 | Mar 1, 2016 | A | 4,200 | $0.00 | A | 6,240 | I | By Spouse |
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 (Right to Buy)F5 | $2.04 | Mar 1, 2016 | A | 118,000 | A | — | Mar 1, 2026 | Common Stock | 118,000 | 871,512 | D |
| Employee Stock Option (Right to Buy)F5 | $2.04 | Mar 1, 2016 | A | 8,800 | A | — | Mar 1, 2026 | Common Stock | 8,800 | 19,765 | I |
Explanation of responses
- F1The reporting person was granted 50,000 restricted stock units. The restricted stock units vest in 1/4 increments commencing one year after the date of grant.
- F2Includes an aggregate of 62,586 restricted stock units.
- F3The reporting person's spouse was granted 4,200 restricted stock units. The restricted stock units vest in 1/4 increments commencing one year after the date of grant.
- F4The total number of shares of Common Stock represent grants of restricted stock units.
- F5The options vest and become exercisable in 1/3 increments commencing one year after the date of grant.