SEC Form 4 · accession 0001209191-16-134088
RPM INTERNATIONAL INC/DE/ · RPM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Janeen B. Kastner
Officer — VP Corp. Benefits/Risk Mgmt.
Period of report
Jul 25, 2016
Accepted (ET)
Jul 27, 2016 · 4:15 pm EDT
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 | Jul 25, 2016 | A | 1,697 | $0.00 | A | 78,822 | D | |
| Common Stock, $0.01 par valueF3 | Jul 25, 2016 | A | 8,000 | $0.00 | A | 86,822 | D | |
| Common Stock, $0.01 par valueF4 | holding | — | — | — | 924 | 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 RightsF6,F5 | $50.99 | Jul 25, 2016 | A | 30,000 | A | — | Jul 25, 2026 | Common Stock | 30,000 | 90,000 | D |
Explanation of responses
- F1The reporting person was granted 1,697 shares of Common Stock, issued pursuant to the 2007 RPM International Inc. Restricted Stock Plan.
- F2The reporting person was granted 8,000 shares of Common Stock, issued as Performance Earned Restricted Stock, pursuant to the RPM International Inc. 2014 Omnibus Equity and Incentive Plan.
- F3Includes an aggregate of 17,848 shares of Common Stock issued pursuant to the 2007 RPM International Inc. Restricted Stock Plan, 21,200 shares of Common Stock, issued as Performance Earned Restricted Stock, pursuant to the RPM International Inc. 2004 and 2014 Omnibus Equity and Incentive Plans, and 16,000 shares of Common Stock, issued as Performance Contingent Restricted Stock, pursuant to the RPM International Inc. 2014 Omnibus Equity and Incentive Plan.
- F4Approximate number of shares held as of July 25, 2016 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.
- F5The Stock Appreciation Rights vest in four equal installments, beginning on July 25, 2017.
- F6Stock Appreciation Rights granted pursuant to the RPM International Inc. 2004 and 2014 Omnibus Equity and Incentive Plans in exempt transactions under Rule 16b-3. These Stock Appreciation Rights vest in four equal annual installments commencing one year after the date of grant. These Stock Appreciation Rights were granted between 2014 and 2016 and expire 10 years from the date of grant.