SEC Form 4 · accession 0001045309-15-000046
W R GRACE & CO · GRA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark A Shelnitz
Officer — VP, GC and Secretary
Period of report
Apr 27, 2015
Accepted (ET)
Apr 29, 2015 · 3:27 pm EDT
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 | Apr 27, 2015 | M | 21,000 | $27.745 | A | 74,500 | D | |
| Common Stock, par value $0.01 per shareF1,F3 | Apr 27, 2015 | S | 21,000 | $97.1043 | D | 53,500 | D | |
| Common Stock, par value $0.01 per shareF1 | Apr 28, 2015 | M | 21,000 | $27.745 | A | 74,500 | D | |
| Common Stock, par value $0.01 per shareF1,F4 | Apr 28, 2015 | S | 21,000 | $96.9821 | D | 53,500 | D | |
| Common Stock, par value $0.01 per shareF1,F2 | holding | — | — | — | 9,421 | I | By Trust | |
| Common Stock, par value $0.01 per shareF1,F2 | holding | — | — | — | 9,421 | I | By Trust | |
| Common Stock, par value $0.01 per shareF1,F2 | holding | — | — | — | 9,421 | I | By Trust | |
| Common Stock, par value $.01 per shareF1,F2 | holding | — | — | — | 9,421 | I | By Trust |
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)F5,F1 | $27.745 | Apr 27, 2015 | M | 21,000 | D | May 5, 2013 | May 5, 2015 | Common Stock | 21,000 | 21,000 | D |
| Employee Stock Options (rights to buy)F5,F1 | $27.745 | Apr 28, 2015 | M | 21,000 | D | May 5, 2013 | May 5, 2015 | Common Stock | 21,000 | 0 | D |
Explanation of responses
- F1Each share of Common stock also represents one Preferred Share 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.
- F2Such shares are held in a "Rabbi Trust" established by the issuer for the benefit of certain officers and directors.
- F3The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $96.825 to $97.38, 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) and (4) 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 $96.525 to $97.23, inclusive.
- F5Exercise and Sale pursuant to Rule 10b5-1 Trading Plan for options granted May 5, 2010 and expiring May 5, 2015.