SEC Form 4 · accession 0001127602-17-007373
Knowles Corp · KN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey Niew
Officer — President & CEO · Director
Period of report
Mar 11, 2016
Accepted (ET)
Feb 21, 2017 · 4:09 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001587523
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 11, 2016 | J | 4,092 | $13.02 | D | 306,371 | D | |
| Common StockF2 | Feb 16, 2017 | A | 108,921 | $0.00 | A | 415,292 | D | |
| Common StockF3 | Feb 21, 2017 | S | 11,727 | $19.33 | D | 403,565 | D | |
| Common Stock | holding | — | — | — | 4,383 | I | By 401(k) Plan |
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)F4 | $19.28 | Feb 16, 2017 | A | 156,018 | A | Feb 16, 2018 | Feb 15, 2024 | Common Stock | 156,018 | 156,018 | D |
Explanation of responses
- F1Shares transferred pursuant to a domestic relations order on March 11, 2016.
- F2Restricted stock granted under the Knowles Corporation 2016 Equity and Cash Incentive Plan that vests ratably over three years commencing on the first anniversary of the award.
- F3The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on October 27, 2016.
- F4Option granted under the Knowles Corporation 2016 Equity and Cash Incentive Plan that vests ratably over three years commencing on the first anniversary of the award.