SEC Form 4 · accession 0001545391-16-000017
TCP International Holdings Ltd. · TCPIF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian Catlett
Officer — CFO and Treasurer
Period of report
Mar 7, 2016
Accepted (ET)
Mar 9, 2016 · 4:38 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001545391
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1 | Mar 7, 2016 | A | 450,000 | $1.14 | A | 580,415 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Mr. Catlett received restricted share units representing 450,000 shares that will vest pro-rata on a monthly basis over a 10-month period beginning on March 31, 2016 or on such later date as the common shares have been registered in accordance with applicable provisions of Swiss law. As restricted share units vest, the vested units are automatically converted to common shares on a one-for-one basis on the vesting date.