SEC Form 4 · accession 0000906318-17-000077
Milacron Holdings Corp. · MCRN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ira G Boots
Director
Period of report
Dec 4, 2017
Accepted (ET)
Dec 6, 2017 · 3:21 pm EST
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 | Dec 4, 2017 | M | 29,950 | $6.64 | A | 29,950 | I | Held by Boots Family Trust #1 |
| Common StockF1 | Dec 4, 2017 | S | 29,950 | $18.25 | D | 0 | I | Held by Boots Family Trust #1 |
| Common StockF1 | Dec 5, 2017 | M | 4,479 | $6.64 | A | 4,479 | I | Held by Boots Family Trust #1 |
| Common StockF1 | Dec 5, 2017 | S | 4,479 | $18.25 | D | 0 | I | Held by Boots Family Trust #1 |
| Common StockF1 | Dec 5, 2017 | M | 8,648 | $6.64 | A | 8,648 | I | Held by Boots Family Trust #1 |
| Common StockF2,F1 | Dec 5, 2017 | S | 8,648 | $18.25 | D | 0 | I | Held by Boots Family Trust #1 |
| Common StockF3 | holding | — | — | — | 39,989 | 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)F1,F4 | $6.64 | Dec 4, 2017 | M | 29,950 | D | — | Apr 30, 2022 | Common Stock | 29,950 | 163,099 | I |
| Stock Option (right to buy)F1,F4 | $6.64 | Dec 5, 2017 | M | 4,479 | D | — | Apr 30, 2022 | Common Stock | 4,479 | 158,620 | I |
| Stock Option (right to buy)F1,F4 | $6.64 | Dec 5, 2017 | M | 8,648 | D | — | Apr 30, 2022 | Common Stock | 8,648 | 149,972 | I |
Explanation of responses
- F1The securities were directly held by the Boots Family Trust #1, of which Mr. Boots is the sole trustee, for the benefit of Mr. Boots' spouse, parents, siblings or lineal descendants, and may be deemed to be held by the Reporting Person.
- F2Weighted average price. These shares were sold in multiple transactions at prices ranging from $18.25 to $18.30, inclusive. The reporting person undertakes to provide to Milacron Holdings Corp., any security holder of Milacron Holdings Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- F3Includes 13,595 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, the restricted stock units do not include any voting rights.
- F4The option was granted on 4/30/2012 and this amount was vested in full as of the transaction date.