SEC Form 4 · accession 0001209191-15-015437
Dresser-Rand Group Inc. · DRC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Luciano Mozzato
Officer — Exec. VP, Services Worldwide
Period of report
Feb 15, 2015
Accepted (ET)
Feb 18, 2015 · 5:14 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001316656
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 15, 2015 | M | 886 | $0.00 | A | 16,141 | D | |
| Common StockF2 | Feb 15, 2015 | F | 285 | $81.21 | D | 15,856 | D | |
| Common StockF3 | Feb 15, 2015 | M | 887 | $0.00 | A | 16,743 | D | |
| Common StockF2 | Feb 15, 2015 | F | 235 | $81.21 | D | 16,508 | D | |
| Common StockF4 | Feb 15, 2015 | M | 778 | $0.00 | A | 17,286 | D | |
| Common StockF2 | Feb 15, 2015 | F | 213 | $81.21 | D | 17,073 | D | |
| Common StockF5 | Feb 15, 2015 | A | 1,096 | $0.00 | A | 18,169 | D | |
| Common StockF2 | Feb 15, 2015 | F | 300 | $81.21 | D | 17,869 | D | |
| Common StockF6 | Feb 15, 2015 | A | 944 | $0.00 | A | 18,813 | D | |
| Common StockF2 | Feb 15, 2015 | F | 259 | $81.21 | D | 18,554 | D | |
| Common StockF7 | Feb 15, 2015 | A | 1,789 | $0.00 | A | 20,343 | D | |
| Common StockF2 | Feb 15, 2015 | F | 490 | $81.21 | D | 19,853 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Resticted Stock UnitsF1 | $0.00 | Feb 15, 2015 | M | 886 | D | — | — | Common Stock | 886 | 0 | D |
| Restricted Stock UnitsF3 | $0.00 | Feb 15, 2015 | M | 887 | D | — | — | Common Stock | 887 | 888 | D |
| Restricted Stock UnitsF4 | $0.00 | Feb 15, 2015 | M | 778 | D | — | — | Common Stock | 778 | 1,556 | D |
| Restricted Stock UnitsF8 | $0.00 | Feb 15, 2015 | A | 7,397 | A | — | — | Common Stock | 7,397 | 7,397 | D |
Explanation of responses
- F1Vesting of restricted stock unit grant dated February 15, 2012 pursuant to the Dresser-Rand Group Inc. 2008 Stock Incentive Plan (the "Plan").
- F2Withholding of stock to satisfy tax withholding obligation.
- F3Vesting of restricted stock unit grant dated February 15, 2013 pursuant to the Plan.
- F4Vesting of restricted stock unit grant dated February 15, 2014 pursuant to the Plan.
- F5Represents shares issued in settlement of vesting of performance restricted stock unit grant dated February 15, 2012 pursuant to the Plan.
- F6Represents shares issued in settlement of vesting of performance restricted stock unit grant dated February 15, 2013 pursuant to the Plan.
- F7Represents shares issued in settlement of vesting of performance restricted stock unit grant dated February 15, 2014 pursuant to the Plan.
- F8Grant of restricted stock units pursuant to the Plan, exempt under Rule 16b-3. Restricted stock units become vested [in three equal annual installments beginning on February 15, 2016].