SEC Form 4 · accession 0001209191-17-052042
Axalta Coating Systems Ltd. · AXTA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Samuel L. Smolik
Director
Period of report
Sep 8, 2017
Accepted (ET)
Sep 8, 2017 · 4:20 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001616862
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1 | Sep 8, 2017 | M | 733 | — | A | 4,733 | 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 UnitF1,F2 | — | Sep 8, 2017 | M | 733 | D | — | — | Common Shares | 733 | 1,467 | D |
Explanation of responses
- F1Restricted stock units convert into common shares on a one-for-one basis.
- F2On September 8, 2016, the reporting person was granted 2,200 restricted stock units, vesting in three equal annual installments beginning on September 8, 2017.