SEC Form 4 · accession 0001225208-15-015307
SPECTRUM MANAGEMENT HOLDING COMPANY, LLC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Pace Wayne
Director
Period of report
Jul 8, 2015
Accepted (ET)
Jul 9, 2015 · 5:00 pm EDT
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 | Jul 8, 2015 | M | 857 | $0.00 | A | 28,385 | 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 UnitF2,F3 | — | Jul 8, 2015 | A | 332 | A | — | — | Common Stock, par value $.01 per share | 332 | 3,384 | D |
| Director Deferred Stock UnitF5,F1,F4 | — | Jul 8, 2015 | M | 857 | D | — | — | Common Stock, par value $.01 per share | 857 | 2,527 | D |
Explanation of responses
- F1Each deferred stock unit represents a right to receive one share of Common Stock.
- F2The deferred stock units were acquired by the reporting person pursuant to the terms of the issuer's Deferred Stock Unit Program for Non-Employee Directors under which directors may elect to defer all or a portion of their cash retainer and committee fees. Each deferred stock unit represents a right to receive one share of Common Stock of the issuer.
- F3The Common Stock will become issuable to the Reporting Person upon the termination of the Reporting Person's service as a director.
- F4The Common Stock became issuable to the Reporting Person upon the earlier of July 8, 2015 or the termination of the Reporting Person's service as a director.
- F5These deferred stock units may have different distribution dates.