SEC Form 4 · accession 0001209191-15-017171
RPM INTERNATIONAL INC/DE/ · RPM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Keith R Smiley
Officer — VP-Finance & Controller
Period of report
Feb 19, 2015
Accepted (ET)
Feb 23, 2015 · 4:16 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000110621
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.01 par value | Feb 19, 2015 | M | 8,000 | $17.65 | A | 104,936 | D | |
| Common Stock, $0.01 par value | Feb 19, 2015 | D | 2,785 | $50.71 | D | 102,151 | D | |
| Common Stock, $0.01 par valueF1 | Feb 19, 2015 | F | 1,663 | $50.71 | D | 100,488 | D | |
| Common Stock, $0.01 par valueF2 | holding | — | — | — | 3,765 | I | By 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightsF3 | $17.65 | Feb 19, 2015 | M | 8,000 | D | — | Oct 5, 2015 | Common Stock | 8,000 | 0 | D |
Explanation of responses
- F1Includes an aggregate of 7,701 shares of Common Stock issued pursuant to the 1997 RPM International Inc. Restricted Stock Plan, as amended, 23,132 shares of Common Stock issued pursuant to the 2007 RPM International Inc. Restricted Stock Plan, and 22,200 shares of Common Stock, issued as Performance Earned Restricted Stock, pursuant to the RPM International Inc. 2004 Omnibus Equity and Incentive Plan.
- F2Approximate number of shares held as of February 19, 2015 in the account of reporting person by Wachovia Bank, N.A., as Trustee of the RPM International Inc. 401(k) Trust and Plan, as amended.
- F3The Stock Appreciation Rights vested in four equal installments on October 5, 2006, 2007, 2008 and 2009.