SEC Form 4 · accession 0001209191-17-065963
TENNECO INC · TEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peng Guo
Officer — Executive Vice President
Period of report
Dec 13, 2017
Accepted (ET)
Dec 15, 2017 · 4:42 pm EST
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 | Dec 12, 2017 | G | 4,000 | $0.00 | D | 87,957 | D | |
| Common Stock | Dec 13, 2017 | M | 1,650 | $45.42 | A | 89,607 | D | |
| Common Stock | Dec 13, 2017 | S | 1,650 | $57.73 | D | 87,957 | D | |
| Common Stock | Dec 13, 2017 | M | 373 | $43.20 | A | 88,330 | D | |
| Common Stock | Dec 13, 2017 | S | 373 | $57.67 | D | 87,957 | D | |
| Common Stock | Dec 13, 2017 | M | 3,535 | $29.83 | A | 91,492 | D | |
| Common StockF2 | Dec 13, 2017 | S | 3,535 | $57.67 | D | 87,957 | D | |
| Common StockF3 | holding | — | — | — | 26,315 | I | By 401(k) | |
| Common StockF4 | holding | — | — | — | 32,683 | D |
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 Acquire)F6,F5 | $45.42 | Dec 13, 2017 | M | 1,650 | D | — | Jan 18, 2018 | Common Stock | 1,650 | 0 | D |
| Employee Stock Option (Right to Acquire)F6,F7 | $43.20 | Dec 13, 2017 | M | 373 | D | — | Jul 19, 2018 | Common Stock | 373 | 0 | D |
| Employee Stock Option (Right to Acquire)F6,F8 | $29.83 | Dec 13, 2017 | M | 3,535 | D | — | Jan 17, 2019 | Common Stock | 3,535 | 0 | D |
Explanation of responses
- F1Reflects cashless exercise of stock options which were granted pursuant to Rule 16b-3.
- F2The Common Stock sold by the Reporting Person and reported herein was sold at a range of between $57.661 and $57.673 per share. The sale price represents the weighted average sale price for the reported transaction and has been rounded to the nearest cent.
- F3Reflects stock allocated to, and indirectly held by, the Reporting Person under the Issuer's 401(k) Plan.
- F4Reflects restricted stock granted to the Reporting Person pursuant to Rule 16b-3.
- F5The stock options exercised by the Reporting Person vested in three equal installments on January 19, 2012, January 19, 2013 and January 19, 2014.
- F6Reflects stock options granted pursuant to Rule 16b-3.
- F7The stock options exercised by the Reporting Person vested in three equal installments on July 20, 2012, July 20, 2013 and July 20, 2014.
- F8The stock options exercised by the Reporting Person vested in three equal installments on January 18, 2013, January 18, 2014 and January 18, 2015.