SEC Form 4 · accession 0001209191-18-024157
WORTHINGTON ENTERPRISES, INC. · WOR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Catherine M Lyttle
Officer — Vice President-Communications
Period of report
Apr 4, 2018
Accepted (ET)
Apr 6, 2018 · 10:32 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000108516
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Shares | Apr 4, 2018 | M | 7,500 | $20.21 | A | 32,059 | D | |
| Common Shares | Apr 4, 2018 | M | 9,000 | $12.05 | A | 41,059 | D | |
| Common Shares | Apr 4, 2018 | M | 9,000 | $23.10 | A | 50,059 | D | |
| Common Shares | Apr 4, 2018 | M | 9,000 | $20.47 | A | 59,059 | D | |
| Common Shares | Apr 4, 2018 | S | 34,500 | $40.65 | D | 24,559 | D | |
| Common SharesF1 | holding | — | — | — | 535 | I | By 401(k) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-qualified stock option (right to buy)F2 | $20.21 | Apr 4, 2018 | M | 7,500 | D | Jul 1, 2009 | Jul 1, 2018 | Common Shares | 7,500 | 0 | D |
| Non-qualified stock option (right to buy)F3 | $12.05 | Apr 4, 2018 | M | 9,000 | D | Jul 2, 2011 | Jul 2, 2020 | Common Shares | 9,000 | 0 | D |
| Non-qualified stock option (right to buy)F4 | $23.10 | Apr 4, 2018 | M | 9,000 | D | Jun 30, 2012 | Jun 30, 2021 | Common Shares | 9,000 | 0 | D |
| Non-qualified stock option (right to buy)F5 | $20.47 | Apr 4, 2018 | M | 9,000 | D | Jun 29, 2013 | Jun 29, 2022 | Common Shares | 9,000 | 0 | D |
Explanation of responses
- F1Amount listed is the most up-to-date information available regarding holdings in the Company Stock Fund under the Worthington Industries, Inc. Deferred Profit Sharing Plan and is based on a plan statement dated as of 4/2/2018.
- F2This non-qualified stock option was granted pursuant to the Worthington Industries, Inc. 2003 Stock Option Plan and vested at 20% per year, beginning on the date listed.
- F3This non-qualified stock option was granted pursuant to the Worthington Industries, Inc. 1997 Amended and Restated Long-Term Incentive Stock Option Plan and vested at 20% per year, beginning on the date listed.
- F4This non-qualified stock option was granted pursuant to the Worthington Industries, Inc. 2010 Stock Option Plan. Date listed is the first day the first portion of the option vested. Additional portions of 33.33% of the option vested annually on 6/30/2013 and 6/30/2014.
- F5This non-qualified stock option was granted pursuant to the Worthington Industries, Inc. 2010 Stock Option Plan. Date listed is the day the first portion of the option vested. Additional portions of 33.33% of the option vested annually on 6/29/2014 and 6/29/2015.