SEC Form 4 · accession 0001209191-17-045703
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 17, 2017
Accepted (ET)
Jul 19, 2017 · 4:47 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 valueF2 | Jul 17, 2017 | A | 1,661 | $0.00 | A | 88,495 | D | |
| Common Stock, $0.01 par valueF3 | holding | — | — | — | 944 | 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 RightsF5,F4 | $55.19 | Jul 17, 2017 | A | 30,000 | A | — | Jul 17, 2027 | Common Stock | 30,000 | 120,000 | D |
Explanation of responses
- F1The reporting person was granted 1,661 shares of Common Stock, issued pursuant to the 2007 RPM International Inc. Restricted Stock Plan.
- F2Includes an aggregate of 19,509 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.
- F3Approximate number of shares held as of July 17, 2017 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.
- F4The Stock Appreciation Rights vest in four equal installments, beginning on July 17, 2018.
- F5Stock 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 2017 and expire 10 years from the date of grant.