SEC Form 4 · accession 0001296435-17-000145
Neenah Inc · NP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven S Heinrichs
Officer — SVP, General Counsel & Sec
Period of report
Sep 27, 2017
Accepted (ET)
Sep 29, 2017 · 10:57 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001296435
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stockF1 | Sep 27, 2017 | M | 2,000 | $42.82 | A | 18,293 | D | |
| Common stockF1 | Sep 27, 2017 | S | 2,000 | $85.00 | D | 16,293 | D | |
| Common stockF1 | Sep 27, 2017 | M | 744 | $59.72 | A | 17,037 | D | |
| Common stockF1 | Sep 27, 2017 | S | 744 | $85.00 | D | 16,293 | 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 RightsF1,F2 | $42.82 | Sep 27, 2017 | M | 4,030 | D | — | Jan 27, 2024 | Common stock | 4,030 | 0 | D |
| Stock Appreciation RightF1,F3 | $59.72 | Sep 27, 2017 | M | 2,499 | D | — | Jan 26, 2025 | Common stock | 2,499 | 1,251 | D |
Explanation of responses
- F1This transaction was executed pursuant to a sale in accordance with a Preset Diversification Program (10b5-1 Trading Plan) for Steven S. Heinrichs.
- F2The stock appreciation rights vest in increments of one third on 01/28/2015, 01/28/2016, and 01/28/2017.
- F3The stock appreciation rights vest in increments of one third on 01/27/2016, 01/27/2017, and 01/27/2018.