SEC Form 4 · accession 0001209191-16-137758
CONVERGYS CORP · CVG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey H Fox
Director
Period of report
Aug 16, 2016
Accepted (ET)
Aug 18, 2016 · 4:05 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001062047
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1 | Aug 16, 2016 | G | 10,000 | — | D | 338,610 | D | |
| Common SharesF1 | Aug 16, 2016 | G | 10,000 | — | A | 30,000 | I | By Fox Family Charitable Trust |
| Common SharesF2 | Aug 16, 2016 | S | 15,000 | $29.374 | D | 15,000 | I | By Fox Family Charitable Trust |
| Common SharesF3 | Aug 16, 2016 | S | 10,000 | $29.373 | D | 340,000 | I | By FAMCO Enterprises Limited Partnership |
| Common Shares | Aug 16, 2016 | S | 10,000 | $29.35 | D | 328,610 | D | |
| Common SharesF4 | Aug 17, 2016 | S | 5,000 | $29.75 | D | 335,000 | I | By FAMCO Enterprises Limited Partnership |
| Common Shares | Aug 17, 2016 | M | 20,000 | $12.79 | A | 348,610 | D | |
| Common SharesF5 | Aug 17, 2016 | S | 25,000 | $29.767 | D | 323,610 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy)F6 | $12.79 | Aug 17, 2016 | M | 20,000 | D | — | Feb 10, 2022 | Common Shares | 20,000 | 156,370 | D |
Explanation of responses
- F1Shares gifted to Fox Family Charitable Trust.
- F2The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.36 to $29.38, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, 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 range set forth in this footnote.
- F3The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.36 to $29.381, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, 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 range set forth in this footnote.
- F4The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.74 to $29.76, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, 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 range set forth in this footnote.
- F5The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.74 to $29.775, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, 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 range set forth in this footnote.
- F6The stock options were part of a previously reported grant that vested 50% on February 10, 2014 and 50% on February 10, 2015.