SEC Form 4 · accession 0001533526-18-000068
GLOBAL BRASS & COPPER HOLDINGS, INC. · BRSS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin W Bense
Officer — President - A.J. Oster, LLC
Period of report
Sep 4, 2018
Accepted (ET)
Sep 7, 2018 · 6:29 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001533526
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.01 per shareF1,F2 | Sep 4, 2018 | M | 11,453 | $16.06 | A | 53,648 | D | |
| Common Stock, par value $0.01 per shareF2 | Sep 4, 2018 | M | 14,983 | $13.73 | A | 68,631 | D | |
| Common Stock, par value $0.01 per shareF2 | Sep 4, 2018 | M | 7,996 | $26.97 | A | 76,627 | D | |
| Common Stock, par value $0.01 per shareF2 | Sep 4, 2018 | M | 2,694 | $33.90 | A | 79,321 | D | |
| Common Stock, par value $0.01 per shareF3 | Sep 4, 2018 | S | 31,421 | $37.7909 | D | 47,900 | D | |
| Common Stock, par value $0.01 per shareF4 | Sep 5, 2018 | S | 5,705 | $37.3509 | D | 42,195 | 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)F5 | $16.06 | Sep 4, 2018 | M | 11,453 | D | — | Apr 3, 2024 | Common Stock, par value $0.01 per share | 11,453 | 0 | D |
| Stock Option (right to buy)F6 | $13.73 | Sep 4, 2018 | M | 14,983 | D | — | Feb 12, 2025 | Commn Stock, par value $0.01 per share | 14,983 | 0 | D |
| Stock Option (right to buy)F7 | $26.97 | Sep 4, 2018 | M | 7,996 | D | — | Feb 11, 2026 | Common Stock, par value $0.01 per share | 7,996 | 3,999 | D |
| Stock Option (right to buy)F8 | $33.90 | Sep 4, 2018 | M | 2,694 | D | — | Feb 9, 2027 | Common Stock par value, $0.01 per share | 2,694 | 5,839 | D |
Explanation of responses
- F1Late filing due to administrative error.
- F2Shares acquired from the exercise of stock options granted under the Issuer's equity incentive plan.
- F3The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $37.50 to $38.15, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
- F4The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $37.35 to $37.40, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
- F5These options were granted on April 3, 2014 and vested in three equal installments on the first three anniversaries of the grant date.
- F6These options were granted on February 12, 2015 and vested in three equal installments on the first three anniversaries of the grant date.
- F7These options were granted on February 11, 2016 and are scheduled to vest in three equal installments on the first three anniversaries of the grant date. The first two tranches have vested.
- F8These options were granted on February 9, 2017 and are scheduled to vest in three equal installments on the first three anniversaries of the grant date. The first tranche has vested.