SEC Form 4 · accession 0001209191-17-046676
RPM INTERNATIONAL INC/DE/ · RPM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edward W. Moore
Officer — SVP, GC & CCO
Period of report
Jul 27, 2017
Accepted (ET)
Jul 31, 2017 · 4:23 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 27, 2017 | M | 7,500 | $33.80 | A | 92,549 | D | |
| Common Stock, $0.01 par value | Jul 27, 2017 | D | 4,868 | $52.08 | D | 87,681 | D | |
| Common Stock, $0.01 par value | Jul 27, 2017 | F | 1,196 | $52.08 | D | 86,485 | D | |
| Common Stock, $0.01 par valueF1,F2 | Jul 28, 2017 | S | 10,568 | $52.035 | D | 75,917 | D |
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 | $33.80 | Jul 27, 2017 | M | 7,500 | D | Jul 18, 2017 | Jul 18, 2023 | Common Stock | 7,500 | 120,000 | D |
Explanation of responses
- F1Price reported constitutes the average weighted price of shares sold. Shares were sold at varying prices in the range of $51.841 - 52.10. The reporting person hereby undertakes, upon request by the Commission staff, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price.
- F2Includes an aggregate of 9,883 shares of Common Stock issued pursuant to the 2007 RPM International Inc. Restricted Stock Plan, 6,534 vested restricted shares of Common Stock held in escrow in the 2007 RPM International Inc. Restricted Stock Plan until the reporting persons' retirement, 43,500 shares of Common Stock, issued as Performance Earned Restricted Stock, pursuant to the RPM International Inc. 2014 Omnibus Equity and Incentive Plan, 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.
- F3Stock 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.