SEC Form 4 · accession 0001209191-15-086944

GLOBE SPECIALTY METALS INC · GSM

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Dec 23, 2015

Accepted (ET)

Dec 24, 2015 · 7:59 am EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001383571

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	Dec 23, 2015	D	5,079	—	D	0	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Stock Option^F2	$22.42	Dec 23, 2015	D	1,446	D	Jun 30, 2012	Jun 30, 2016	Common Stock	1,446	D
Stock Option^F2,F3	$18.81	Dec 23, 2015	D	6,675	D	—	Aug 11, 2016	Common Stock	6,675	D
Stock Option^F2,F3	$18.81	Dec 23, 2015	D	225	D	—	Aug 11, 2016	Common Stock	225	D
Stock Option^F2	$13.43	Dec 23, 2015	D	3,297	D	Jun 30, 2013	Jun 30, 2017	Common Stock	3,297	D
Stock Option^F2	$11.34	Dec 23, 2015	D	4,990	D	Jul 18, 2014	Jul 18, 2018	Common Stock	4,990	D
Stock Option^F2,F4	$21.34	Dec 23, 2015	D	25,000	D	—	Mar 19, 2019	Common Stock	25,000	D
Stock Option^F2	$20.58	Dec 23, 2015	D	1,226	D	Jul 8, 2015	Jul 8, 2019	Common Stock	1,226	D
Restricted Stock Unit^F2,F5	—	Dec 23, 2015	D	1,078	D	Feb 27, 2016	Feb 27, 2016	Common Stock	1,078	D
Restricted Stock Unit^F2,F5	—	Dec 23, 2015	D	1,695	D	Jun 30, 2016	Jun 30, 2016	Common Stock	1,695	D
Stock Appreciation Right^F2,F6,F4	$12.54	Dec 23, 2015	D	12,784	D	—	Aug 20, 2018	Common Stock	12,784	D
Stock Appreciation Right^F2,F6	$16.70	Dec 23, 2015	D	2,303	D	Feb 27, 2016	Feb 27, 2020	Common Stock	2,303	D

F1Disposed of in a merger pursuant to a business combination agreement by, among others, issuer, Grupo Villar Mir, S.A., and Grupo FerroAtlantica, S.A., in which each share of common stock of issuer was exchanged for one (1) share of FerroGlobe PLC common stock on the effective date of the merger.
F2These awards were cancelled in the merger in exchange for awards on the same terms for shares of FerroGlobe PLC common stock.
F3The awards vest and become exercisable quarterly, in eighths, over the course of two years from the original grant date (subject to acceleration in certain circumstances).
F4The awards vest and become exercisable in thirds on the first, second and third anniversary of the original grant date (subject to acceleration in certain circumstances).
F5Each restricted stock unit represents the right to receive cash in an amount equal to the fair market value of one share of common stock, on the date of vesting of the subject restricted stock unit.
F6Each stock appreciation right represents the right to receive cash in an amount equal to the difference obtained by subtracting the exercise price from the fair market value of one share of the company's common stock, as of the date of exercise of the subject stock appreciation right.