SEC Form 4/A · accession 0001331471-16-000042
STONERIDGE INC · SRI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Richard P. Adante
Officer — Vice President Operations
Period of report
Feb 4, 2016
Accepted (ET)
Mar 7, 2016 · 3:07 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001043337
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Shares, without par valueF1 | Feb 4, 2016 | M | 9,026 | — | A | 93,976 | D | |
| Common Shares, without par valueF1 | Feb 4, 2016 | D | 9,026 | — | D | 84,950 | D | |
| Common Shares, without par value | Feb 4, 2016 | F | 18,418 | $11.06 | D | 66,532 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom SharesF1 | — | Feb 4, 2016 | M | 9,026 | D | — | — | Common Shares, without par value | 19,500 | 0 | D |
Explanation of responses
- F1Each Phantom Share is the economic equivalent of one Common Share, 19,000 Phantom Shares were granted on February 4, 2013. On February 4, 2016 10,474 Phantom Shares were forfeited and 9,026 Phantom Shares were paid in cash at $11.11 per share.