SEC Form 4 · accession 0000906318-17-000069
Milacron Holdings Corp. · MCRN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Waters S Davis IV
Director
Period of report
Sep 8, 2017
Accepted (ET)
Sep 12, 2017 · 12:27 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001637913
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 share ("Common Stock")F1 | Sep 8, 2017 | M | 12,000 | $6.64 | A | 44,935 | D | |
| Common StockF2,F1 | Sep 8, 2017 | S | 12,000 | $15.7272 | D | 32,935 | D | |
| Common StockF1 | Sep 11, 2017 | M | 24,000 | $6.64 | A | 56,935 | D | |
| Common StockF3,F1 | Sep 11, 2017 | S | 12,000 | $15.7498 | D | 44,935 | D | |
| Common StockF4,F1 | Sep 11, 2017 | S | 12,000 | $15.8545 | D | 32,935 | D | |
| Common StockF5,F1 | Sep 11, 2017 | S | 12,000 | $15.8318 | D | 20,935 | 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)F6,F7 | $6.64 | Sep 8, 2017 | M | 12,000 | D | — | Aug 7, 2023 | Common Stock | 12,000 | 47,953 | D |
| Stock Option (right to buy)F6,F7 | $6.64 | Sep 11, 2017 | M | 24,000 | D | — | Aug 7, 2023 | Common Stock | 24,000 | 23,953 | D |
Explanation of responses
- F1Includes 6,064 restricted stock units that represent the right to receive, at settlement, one share of common stock which are subject to vesting and forfeiture and which vest on February 27, 2018. Prior to vesting, restricted stock units do not include any voting rights.
- F2This transaction was executed in multiple trades at prices ranging from $15.7100 to $15.7900. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F3This transaction was executed in multiple trades at prices ranging from $15.7450 to $15.8350. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F4This transaction was executed in multiple trades at prices ranging from $15.8300 to $15.9100. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F5This transaction was executed in multiple trades at prices ranging from $15.8100 to $15.8700. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F6The options vest over five years, at a rate of 20% per year, beginning on the first anniversary of the grant date, August 7, 2013, and immediately vest upon a change of control.
- F7The option was granted on 8/7/2013 and this amount was vested in full as of the transaction date.