SEC Form 4 · accession 0001045309-15-000020
W R GRACE & CO · GRA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alfred E Festa
Officer — Chairman and CEO · Director
Period of report
Feb 6, 2015
Accepted (ET)
Feb 10, 2015 · 5:38 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001045309
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.01 per shareF1,F2 | Feb 6, 2015 | M | 200,000 | $27.745 | A | 350,517 | D | |
| Common Stock, par value $0.01 per shareF1,F3 | Feb 6, 2015 | S | 168,709 | $100.4714 | D | 181,808 | D | |
| Common Stock, par value $0.01 per shareF1,F4 | Feb 6, 2015 | S | 23,291 | $101.1891 | D | 158,517 | D | |
| Common Stock, par value $0.01 per shareF1,F5 | Feb 6, 2015 | S | 8,000 | $102.2818 | D | 150,517 | 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 Options (rights to buy)F1 | $27.745 | Feb 6, 2015 | M | 200,000 | D | May 5, 2013 | May 5, 2015 | Common Stock | 200,000 | 0 | D |
Explanation of responses
- F1Each share of Common Stock also represents one Preferred Stock Purchase Right. Each such Right entitles the holder to purchase Preferred Stock or other securities or property upon the occurrence of certain events and subject to certain conditions.
- F2Exercise and Sale pursuant to Rule 10b5-1 Trading Plan entered into June 13, 2014, for options expiring May 5, 2015.
- F3The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $99.86 to $100.85, inclusive. The reporting person undertakes to provide W. R. Grace & Co, any security holder of W. R. Grace & Co., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (3), (4) and (5) to this Form 4.
- F4The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $100.87 to $101.8475, inclusive.
- F5The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $101.86 to $102.58, inclusive.