SEC Form 4 · accession 0001659154-17-000073
FEDERAL SIGNAL CORP /DE/ · FSS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew B Brady
Officer — Sr. V.P.-Safety & Security Sys
Period of report
Jun 9, 2017
Accepted (ET)
Jun 13, 2017 · 2:36 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000277509
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jun 9, 2017 | M | 892 | $5.50 | A | 14,262 | D | |
| Common Stock | Jun 9, 2017 | M | 2,200 | $8.40 | A | 16,462 | D | |
| Common Stock | Jun 9, 2017 | M | 3,704 | $16.09 | A | 20,166 | D | |
| Common Stock | Jun 9, 2017 | M | 2,318 | $14.48 | A | 22,484 | D | |
| Common Stock | Jun 9, 2017 | M | 3,153 | $14.83 | A | 25,637 | D | |
| Common Stock | Jun 9, 2017 | M | 5,925 | $12.66 | A | 31,562 | D | |
| Common StockF1,F2 | Jun 9, 2017 | F | 15,922 | $17.01 | D | 15,640 | D | |
| Common StockF3 | holding | — | — | — | 15,144 | I | Shares held in 401(k) plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (right-to-buy)F4 | $5.50 | Jun 9, 2017 | M | 892 | D | — | May 9, 2022 | Common Stock | 892 | 0 | D |
| Stock Options (right-to-buy)F5 | $8.40 | Jun 9, 2017 | M | 2,200 | D | — | May 9, 2023 | Common Stock | 2,200 | 0 | D |
| Stock Options (right-to-buy)F6 | $16.09 | Jun 9, 2017 | M | 3,704 | D | — | Apr 10, 2025 | Common Stock | 3,704 | 1,852 | D |
| Stock Options (right-to-buy)F7 | $14.48 | Jun 9, 2017 | M | 2,318 | D | — | May 5, 2024 | Common Stock | 2,318 | 0 | D |
| Stock Options (right-to-buy)F8 | $14.83 | Jun 9, 2017 | M | 3,153 | D | — | Dec 5, 2023 | Common Stock | 3,153 | 0 | D |
| Stock Option (right-to-buy)F9 | $12.66 | Jun 9, 2017 | M | 5,925 | D | — | May 5, 2026 | Common Stock | 5,925 | 11,848 | D |
Explanation of responses
- F1This amount represents the total amount of shares withheld to cover payment of the exercise price and applicable tax withholding for each class of securities listed in Table II.
- F2Some shares are subject to restrictions and forfeiture under Company Stock Benefit Plan.
- F3Shares held in account under the Federal Signal Corporation Retirement Savings Plan 401(k) dated January 1, 2007.
- F4The option was granted on 5/9/2012 and vested in three equal annual installments. The option became fully vested and exercisable as of 5/9/2015.
- F5The option was granted on 5/9/2013 and vested in three equal annual installments. The option became fully vested and exercisable as of 5/9/2016.
- F6The option was granted on 4/10/2015 and vested in three equal annual installments. The remaining 1,852 shares vest on 4/10/2018.
- F7The option was granted on 5/5/2014 and vested in three equal annual installments. The option became fully vested and exercisable as of 5/5/2017.
- F8The option was granted on 12/5/2013 and vested in three equal annual installments. The option became fully vested and exercisable as of 12/5/2016.
- F9The option was granted on 5/5/2016 and vested in three equal annual installments. 5,924 shares vest on 5/5/2018, and the remaining 5,924 shares vest on 5/5/2019.