SEC Form 4 · accession 0001209191-16-141831
TENNECO INC · TEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peng Guo
Officer — Senior Vice President
Period of report
Sep 14, 2016
Accepted (ET)
Sep 16, 2016 · 5:14 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001024725
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Sep 14, 2016 | M | 1,563 | $19.48 | A | 89,828 | D | |
| Common Stock | Sep 14, 2016 | S | 1,563 | $56.11 | D | 88,265 | D | |
| Common Stock | Sep 14, 2016 | M | 1,623 | $24.27 | A | 89,888 | D | |
| Common Stock | Sep 14, 2016 | S | 1,623 | $56.16 | D | 88,265 | D | |
| Common StockF2 | holding | — | — | — | 31,356 | D | ||
| Common StockF3 | holding | — | — | — | 63,462 | 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 Options (Right to Acquire)F5,F4 | $19.48 | Sep 14, 2016 | M | 1,563 | D | — | Jan 14, 2017 | Common Stock | 1,563 | 0 | D |
| Employee Stock Options (Right to Acquire)F5,F6 | $24.27 | Sep 14, 2016 | M | 1,623 | D | — | Mar 31, 2017 | Common Stock | 1,623 | 0 | D |
Explanation of responses
- F1Reflects cashless exercise of stock options which were granted pursuant to Rule 16b-3.
- F2Reflects restricted stock granted to the Reporting Person pursuant to Rule 16b-3.
- F3Reflects stock allocated to, and indirectly held by, the Reporting Person under the Issuer's 401(k) Plan.
- F4The stock options exercised by the Reporting Person vested in three equal installments on January 15, 2011, January 15, 2012 and January 15, 2013.
- F5Reflects stock options granted pursuant to Rule 16b-3.
- F6The stock options exercised by the Reporting Person vested in three equal installments on April 1, 2011, April 1, 2012 and April 1, 2013.