SEC Form 4 · accession 0000899243-16-031324
Versum Materials, Inc. · VSM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Guillermo Novo
Officer — President and CEO · Director
Period of report
Oct 3, 2016
Accepted (ET)
Oct 5, 2016 · 8:59 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001660690
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 5,966 | D | ||
| Common StockF1 | holding | — | — | — | 114 | I | By Retirement Savings 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)F3 | $18.87 | Oct 3, 2016 | A | 72,275 | A | — | Dec 2, 2023 | Common Stock | 72,275 | 72,275 | D |
| Stock Option (Right to Buy)F4 | $25.25 | Oct 3, 2016 | A | 28,055 | A | — | Dec 1, 2024 | Common Stock | 28,055 | 28,055 | D |
| Stock Option (Right to Buy)F5 | $18.53 | Oct 3, 2016 | A | 46,942 | A | — | Sep 12, 2023 | Common Stock | 46,942 | 46,942 | D |
Explanation of responses
- F1Reflects common stock of the Issuer received with respect to shares of common stock of Air Products and Chemicals, Inc. ("Air Products") held prior to the spin-off of the Issuer from Air Products (the "Spin-off").
- F2Reflects equity awards granted by Air Products that have been converted into equity awards of the Issuer in connection with the Spin-off.
- F3Reflects options that vest in three equal annual installments on December 2, 2014, December 2, 2015 and December 2, 2016.
- F4Reflects options that vest in three equal annual installments on December 1, 2015, December 1, 2016 and December 1, 2017.
- F5Reflects options that are fully vested.