SEC Form 4 · accession 0001637655-16-000087
Horizon Global Corp · HZN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
A Mark Zeffiro
Officer — President, CEO · Director
Period of report
Mar 1, 2016
Accepted (ET)
Mar 3, 2016 · 7:07 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001637655
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 1, 2016 | A | 52,083 | $0.00 | A | 225,594 | D | |
| Common Stock | Mar 1, 2016 | A | 40,000 | $0.00 | A | 265,594 | D | |
| Common Stock | Mar 1, 2016 | F | 10,948 | $10.08 | D | 254,646 | D | |
| Common StockF1 | holding | — | — | — | 15,091 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option Right to PurchaseF2 | $10.08 | Mar 1, 2016 | A | 66,794 | A | Mar 1, 2017 | Mar 1, 2026 | Common Stock | 66,794 | 66,794 | D |
Explanation of responses
- F1Through the Aldo Mark Zeffiro Living Trust under the agreement dated October 8, 2010.
- F2This option generally vests in three substantially equal installments on March 1, 2017, March 1, 2018 and March 1, 2019.