SEC Form 4 · accession 0001225208-15-001173
SPECTRUM MANAGEMENT HOLDING COMPANY, LLC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Pace Wayne
Director
Period of report
Jan 8, 2015
Accepted (ET)
Jan 9, 2015 · 4:23 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001377013
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $.01 per shareF1 | Jan 8, 2015 | M | 1,264 | $0.00 | A | 27,485 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Director Deferred Stock UnitF3,F1,F2 | — | Jan 8, 2015 | M | 1,264 | D | — | — | Common Stock, par value $.01 per share | 1,264 | 3,052 | D |
Explanation of responses
- F1Each deferred stock unit represents a right to receive one share of Common Stock.
- F2The Common Stock became issuable to the Reporting Person upon the earlier of January 8, 2015 or the termination of the Reporting Person's service as a director.
- F3Shares of Common Stock underlying these DSUs will become issuable to the Reporting Person upon the earlier of five years after the award date of the underlying DSU or the termination of the Reporting Person's service as a director.