SEC Form 4 · accession 0001209191-15-015453
Dresser-Rand Group Inc. · DRC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Vincent R Volpe Jr.
Officer — President and CEO · Director
Period of report
Feb 15, 2015
Accepted (ET)
Feb 18, 2015 · 5:18 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 | 8,862 | $0.00 | A | 287,452 | D | |
| Common StockF2 | Feb 15, 2015 | F | 2,416 | $81.21 | D | 285,036 | D | |
| Common StockF3 | Feb 15, 2015 | M | 8,874 | $0.00 | A | 293,910 | D | |
| Common StockF2 | Feb 15, 2015 | F | 3,239 | $81.21 | D | 290,671 | D | |
| Common StockF4 | Feb 15, 2015 | M | 7,263 | $0.00 | A | 297,934 | D | |
| Common StockF2 | Feb 15, 2015 | F | 3,047 | $81.21 | D | 294,887 | D | |
| Common StockF5 | Feb 15, 2015 | A | 10,968 | $0.00 | A | 305,855 | D | |
| Common StockF2 | Feb 15, 2015 | F | 4,602 | $81.21 | D | 301,253 | D | |
| Common StockF6 | Feb 15, 2015 | A | 9,447 | $0.00 | A | 310,700 | D | |
| Common StockF2 | Feb 15, 2015 | F | 3,964 | $81.21 | D | 306,736 | D | |
| Common StockF7 | Feb 15, 2015 | A | 16,706 | $0.00 | A | 323,442 | D | |
| Common StockF2 | Feb 15, 2015 | F | 7,009 | $81.21 | D | 316,433 | D | |
| Common Stock | holding | — | — | — | 175,271 | I | by trust | |
| Common Stock | holding | — | — | — | 17,680 | I | By VCSC Investments LLC |
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 | 8,862 | D | — | — | Common Stock | 8,862 | 0 | D |
| Restricted Stock UnitsF3 | $0.00 | Feb 15, 2015 | M | 8,874 | D | — | — | Common Stock | 8,874 | 8,874 | D |
| Restricted Stock UnitsF4 | $0.00 | Feb 15, 2015 | M | 7,263 | D | — | — | Common Stock | 7,263 | 14,528 | D |
| Restricted Stock UnitsF8 | $0.00 | Feb 15, 2015 | A | 55,480 | A | — | — | Common Stock | 55,480 | 55,480 | 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.