SEC Form 4 · accession 0001209191-15-015444
Dresser-Rand Group Inc. · DRC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jesus Manuel Pacheco
Officer — Executive Vice President
Period of report
Feb 15, 2015
Accepted (ET)
Feb 18, 2015 · 5:16 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 | 1,519 | $0.00 | A | 28,513 | D | |
| Common StockF2 | Feb 15, 2015 | F | 448 | $81.21 | D | 28,065 | D | |
| Common StockF3 | Feb 15, 2015 | M | 1,597 | $0.00 | A | 29,662 | D | |
| Common StockF2 | Feb 15, 2015 | F | 435 | $81.21 | D | 29,227 | D | |
| Common StockF4 | Feb 15, 2015 | M | 1,245 | $0.00 | A | 30,472 | D | |
| Common StockF2 | Feb 15, 2015 | F | 341 | $81.21 | D | 30,131 | D | |
| Common StockF5 | Feb 15, 2015 | A | 1,880 | $0.00 | A | 32,011 | D | |
| Common StockF2 | Feb 15, 2015 | F | 515 | $81.21 | D | 31,496 | D | |
| Common StockF6 | Feb 15, 2015 | A | 1,700 | $0.00 | A | 33,196 | D | |
| Common StockF2 | Feb 15, 2015 | F | 465 | $81.21 | D | 32,731 | D | |
| Common StockF7 | Feb 15, 2015 | A | 2,863 | $0.00 | A | 35,594 | D | |
| Common StockF2 | Feb 15, 2015 | F | 784 | $81.21 | D | 34,810 | 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 | 1,519 | D | — | — | Common Stock | 1,519 | 0 | D |
| Restricted Stock UnitsF3 | $0.00 | Feb 15, 2015 | M | 1,597 | D | — | — | Common Stock | 1,597 | 1,598 | D |
| Restricted Stock UnitsF4 | $0.00 | Feb 15, 2015 | M | 1,245 | D | — | — | Common Stock | 1,245 | 2,490 | D |
| Restricted Stock UnitsF8 | $0.00 | Feb 15, 2015 | A | 11,096 | A | — | — | Common Stock | 11,096 | 11,096 | 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.