SEC Form 4 · accession 0001045309-17-000039
W R GRACE & CO · GRA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William C. Dockman
Officer — VP and Controller
Period of report
Feb 23, 2017
Accepted (ET)
Feb 27, 2017 · 6:27 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 24, 2017 | M | 274 | — | A | 1,434 | D | |
| Common Stock, par value $0.01 per shareF1 | Feb 24, 2017 | F | 99 | $71.05 | D | 1,335 | 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)F3,F1 | $71.41 | Feb 23, 2017 | A | 4,814 | A | — | Feb 23, 2022 | Common Stock | 4,814 | 4,814 | D |
| Restricted Stock UnitsF4,F5,F1 | — | Feb 23, 2017 | A | 875 | A | — | — | Common Stock | 875 | 5,546 | D |
| Restricted Stock UnitsF4,F6,F1 | — | Feb 24, 2017 | M | 274 | D | — | — | Common Stock | 274 | 5,272 | 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.
- F2Restricted stock units converted into Common Stock on a one-for-one basis.
- F3Options become exercisable in three substantially equal annual installments beginning on February 23, 2018.
- F4Each Restricted Stock Unit represents a contingent right to receive one share of Common Stock or at the Issuer's election, the cash value thereof.
- F5Restricted Stock Units vest in three substantially equal annual installments beginning on February 23, 2018 and will be settled within 60 days of those vesting dates.
- F6Restricted Stock Units vest in three substantially equal annual installments beginning on February 24, 2017 and will be settled within 60 days of those vesting dates.