SEC Form 4 · accession 0001209191-15-015441
Dresser-Rand Group Inc. · DRC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gustavo Nechar
Officer — V.P., Human Resources
Period of report
Feb 15, 2015
Accepted (ET)
Feb 18, 2015 · 5:15 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 | 760 | $0.00 | A | 4,288 | D | |
| Common StockF2 | Feb 15, 2015 | F | 249 | $81.21 | D | 4,039 | D | |
| Common StockF3 | Feb 15, 2015 | M | 776 | $0.00 | A | 4,815 | D | |
| Common StockF2 | Feb 15, 2015 | F | 215 | $81.21 | D | 4,600 | D | |
| Common StockF4 | Feb 15, 2015 | M | 691 | $0.00 | A | 5,291 | D | |
| Common StockF2 | Feb 15, 2015 | F | 186 | $81.21 | D | 5,105 | D | |
| Common StockF5 | Feb 15, 2015 | A | 940 | $0.00 | A | 6,045 | D | |
| Common StockF2 | Feb 15, 2015 | F | 258 | $81.21 | D | 5,787 | D | |
| Common StockF6 | Feb 15, 2015 | A | 826 | $0.00 | A | 6,613 | D | |
| Common StockF2 | Feb 15, 2015 | F | 226 | $81.21 | D | 6,387 | D | |
| Common StockF7 | Feb 15, 2015 | A | 1,590 | $0.00 | A | 7,977 | D | |
| Common StockF2 | Feb 15, 2015 | F | 435 | $81.21 | D | 7,542 | 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 | 760 | D | — | — | Common Stock | 760 | 0 | D |
| Restricted Stock UnitsF3 | $0.00 | Feb 15, 2015 | M | 776 | D | — | — | Common Stock | 776 | 777 | D |
| Restricted Stock UnitsF4 | $0.00 | Feb 15, 2015 | M | 691 | D | — | — | Common Stock | 691 | 1,384 | D |
| Restricted Stock UnitsF8 | $0.00 | Feb 15, 2015 | A | 6,164 | A | — | — | Common Stock | 6,164 | 6,164 | 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.