SEC Form 4 · accession 0001489096-16-000110
Thermon Group Holdings, Inc. · THR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jay Peterson
Officer — Chief Financial Officer
Period of report
Jul 30, 2015
Accepted (ET)
Jan 13, 2016 · 6:08 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001489096
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jul 31, 2015 | M | 1,481 | $0.00 | A | 19,946 | D | |
| Common StockF2 | Jul 31, 2015 | F | 405 | $24.13 | D | 19,541 | D | |
| Common StockF1 | Aug 1, 2015 | M | 2,696 | $0.00 | A | 22,237 | D | |
| Common StockF2 | Aug 1, 2015 | F | 737 | $24.13 | D | 21,500 | D | |
| Common StockF1 | Aug 2, 2015 | M | 2,711 | $0.00 | A | 24,211 | D | |
| Common StockF2 | Aug 2, 2015 | F | 741 | $24.13 | D | 23,470 | D | |
| Common Stock | Dec 14, 2015 | P | 1,000 | $16.58 | A | 24,470 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3 | $0.00 | Jul 30, 2015 | A | 4,476 | A | Jul 30, 2016 | Jul 30, 2018 | Common Stock | 4,476 | 4,476 | D |
| Performance UnitsF4 | $0.00 | Jul 30, 2015 | A | 9,035 | A | Mar 31, 2018 | Mar 31, 2018 | Common Stock | 9,035 | 9,035 | D |
| Restricted Stock UnitsF5 | $0.00 | Jul 31, 2015 | M | 1,481 | D | Jul 31, 2015 | Jul 31, 2017 | Common Stock | 1,481 | 2,963 | D |
| Restricted Stock UnitsF6 | $0.00 | Aug 1, 2015 | M | 2,696 | D | Aug 1, 2014 | Aug 1, 2016 | Common Stock | 2,696 | 2,697 | D |
| Restricted Stock UnitsF7 | $0.00 | Aug 2, 2015 | M | 2,711 | D | Aug 2, 2013 | Aug 2, 2015 | Common Stock | 2,711 | 0 | D |
| Performance UnitsF8 | $0.00 | holding | — | — | — | Mar 31, 2014 | Mar 31, 2016 | Common Stock | 2,697 | 2,697 | D |
| Performance UnitsF9 | $0.00 | holding | — | — | — | Mar 31, 2017 | Mar 31, 2017 | Common Stock | 8,480 | 8,480 | D |
| Stock Option (Right to Buy)F10 | $12.00 | holding | — | — | — | May 4, 2012 | May 4, 2021 | Common Stock | 2,000 | 2,000 | D |
Explanation of responses
- F1Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of vested restricted stock units in shares of common stock.
- F10On May 4, 2011, the reporting person was granted a stock option award vesting in equal annual installments on the first, second, third, fourth and fifth anniversaries of the award.
- F2Shares withheld by Issuer to satisfy applicable withholding tax upon vesting of restricted stock units.
- F3On July 30, 2015, the reporting person was granted a restricted stock unit award vesting in equal annual installments on the first, second and third anniversaries of the award.
- F4On July 30, 2015, the reporting person was granted a performance unit award vesting on March 31, 2018. The actual number of shares earned in settlement of the award depends on the achievement of certain predetermined performance goals and ranges from 0% below target to 200% at maximum. The number of shares reflected on this filing represents the remaining unvested performance units at the target performance level.
- F5On July 31, 2014, the reporting person was granted a restricted stock unit award vesting in equal annual installments on the first, second and third anniversaries of the award.
- F6On August 1, 2013, the reporting person was granted a restricted stock unit award vesting in equal annual installments on the first, second and third anniversaries of the award.
- F7On August 2, 2012, the reporting person was granted a restricted stock unit award vesting in equal annual installments on the first, second and third anniversaries of the award.
- F8On August 1, 2013, the reporting person was granted a performance unit award vesting in equal annual installments on March 31, 2014, 2015 and 2016. The actual number of shares earned in settlement of the award depends on the achievement of certain predetermined performance goals and ranges from 0% below target to 200% at maximum. The number of shares reflected on this filing represents the remaining unvested performance units at the target performance level.
- F9On July 31, 2014, the reporting person was granted a performance unit award vesting on March 31, 2017. The actual number of shares earned in settlement of the award depends on the achievement of certain predetermined performance goals and ranges from 0% below target to 200% at maximum. The number of shares reflected on this filing represents the remaining unvested performance units at the target performance level.