SEC Form 4 · accession 0001331471-19-000011
STONERIDGE INC · SRI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan B DeGaynor
Officer — President and CEO · Director
Period of report
Mar 4, 2019
Accepted (ET)
Mar 6, 2019 · 8:36 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 valueF2 | Mar 4, 2019 | M | 100,497 | — | A | 174,619 | D | |
| Common Shares, without par value | Mar 4, 2019 | F | 38,805 | $30.04 | D | 135,814 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Share UnitsF1 | — | Mar 4, 2019 | A | 36,701 | A | — | — | Common Shares | 36,701 | 275,031 | D |
| Performance Shares/Share UnitsF2 | — | Mar 4, 2019 | M | 100,497 | D | — | — | Common Shares | 100,497 | 174,534 | D |
| Performance Shares/Share UnitsF2 | — | Mar 4, 2019 | D | 24,313 | D | — | — | Common Shares | — | 150,221 | D |
Explanation of responses
- F1Share Units granted to the Reporting Person pursuant to the Company's Long-Term Incentive Plan payable on a one-for-one basis in Company common shares if the Reporting Person remains employed on March 4, 2022.
- F2In 2016 Reporting Person was granted share units and performance shares pursuant to the Company's Long-Term Incentive Plan and on March 4, 2019 100,497 common shares were earned pursuant to the 2016 grant and paid on a one-for-one basis in Company common shares and 24,313 performance shares were not earned and were forfeited.