SEC Form 4 · accession 0001209191-17-059450
Owens Corning · OC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ava Harter
Officer — Sr. VP & General Counsel
Period of report
Nov 2, 2017
Accepted (ET)
Nov 6, 2017 · 5:00 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001370946
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| $.01 Par Value CommonF1 | Nov 2, 2017 | A | 11 | $0.00 | A | 21,538 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF1,F4,F2,F3 | — | Nov 2, 2017 | A | 0 | A | — | — | $.01 Par Value Common | 0 | 87 | D |
Explanation of responses
- F1Additional shares reflect the reinvestment of dividends or dividend equivalents.
- F2Each share of phantom stock is the economic equivalent of one share of Issuer common stock.
- F3Phantom stock acquired through Issuer's Deferred Compensation Plan to be paid out upon Reporting Person's separation or upon the earlier of Reporting Person's separation or December 15, 2018, based on Reporting Person's election.
- F4Includes 86.686 shares of phantom stock, acquired in the OC Stock Fund of the Deferred Compensation Plan and mandatory dividend reinvestment feature of the Deferred Compensation Plan, that were not previously reported.