SEC Form 4 · accession 0001439288-15-000101
Zurn Elkay Water Solutions Corp · ZWS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Todd A. Adams
Officer — President & CEO · Director
Period of report
Sep 2, 2015
Accepted (ET)
Sep 3, 2015 · 5:03 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001439288
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Sep 2, 2015 | I | 3,866 | $19.71 | A | 3,866 | I | By 401(k) Plan |
| Common Stock | Sep 3, 2015 | P | 1,200 | $19.72 | A | 1,200 | I | By SEP IRA |
| Common Stock | holding | — | — | — | 42,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $4.79 | holding | — | — | — | — | Jul 21, 2016 | Common Stock | 81,012 | 81,012 | D |
| Stock Option (right to buy)F2 | $4.79 | holding | — | — | — | — | Apr 19, 2017 | Common Stock | 165,138 | 165,138 | D |
| Stock Option (right to buy)F2 | $9.609 | holding | — | — | — | — | Jun 24, 2018 | Common Stock | 89,914 | 89,914 | D |
| Stock Option (right to buy)F2 | $4.804 | holding | — | — | — | — | Jul 30, 2019 | Common Stock | 224,785 | 224,785 | D |
| Stock Option (right to buy)F2 | $4.804 | holding | — | — | — | — | Sep 11, 2019 | Common Stock | 499,524 | 499,524 | D |
| Stock Option (right to buy)F3 | $8.888 | holding | — | — | — | Oct 29, 2011 | Oct 29, 2020 | Common Stock | 166,508 | 166,508 | D |
| Stock Option (right to buy)F4 | $18.00 | holding | — | — | — | Mar 29, 2012 | Mar 29, 2022 | Common Stock | 937,000 | 937,000 | D |
Explanation of responses
- F1Based on information from the trustee of the 401(k) Plan.
- F2Option fully vested.
- F3One half of the original option vests in five annual installments beginning on the date listed above. The other half vested in five annual installments on March 31 of each fiscal year based on continued employment.
- F4One half of the original option vests three years from the date listed above and the other half vests five years from the date listed above.