SEC Form 4 · accession 0001225208-17-003692
DANA Inc · DAN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rodney R Filcek
Officer — SVP & Chief Acctg Offic
Period of report
Dec 2, 2016
Accepted (ET)
Feb 17, 2017 · 1:24 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000026780
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 | Dec 2, 2016 | M | 308 | $0.00 | A | 24,602 | D | |
| Common Stock, par value $0.01 | Dec 2, 2016 | M | 83 | $0.00 | A | 24,685 | D | |
| Common Stock, par value $0.01F1 | Dec 2, 2016 | F | 83 | $17.24 | D | 24,602 | D | |
| Common Stock, par value $0.01F1 | Dec 2, 2016 | F | 308 | $17.24 | D | 24,294 | 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 UnitsF2,F3 | — | Dec 2, 2016 | M | 308 | D | — | — | Common Stock, par value $0.01 | 308 | 27,528 | D |
| Restricted Stock UnitsF2,F3 | — | Dec 2, 2016 | M | 83 | D | Feb 25, 2017 | — | Common Stock, par value $0.01 | 83 | 5,869 | D |
| Restricted Stock UnitsF4,F2,F5 | — | Feb 15, 2017 | A | 7,039 | A | Feb 15, 2020 | — | Common Stock, par value $0.01 | 7,039 | 7,039 | D |
Explanation of responses
- F1Represents the total number of shares of common stock withheld for the Reporting Person's tax obligation.
- F2Each restricted stock unit granted represents the right to receive one share of Dana common stock or, at the election of Dana, cash equal to the market value per share. Each restricted stock unit contains dividend equivalent rights.
- F3Restricted stock units surrendered in fulfillment of reporting person's tax obligations related to previously granted restricted stock units.
- F4Restricted stock units granted pursuant to the Dana Holding Corporation 2012 Omnibus Incentive Plan.
- F5Restricted stock units cliff vest three (3) years from the date of grant. Reporting person may elect to surrender a portion of their unvested grant to fulfill any tax obligation related to such grant.