SEC Form 4 · accession 0001659154-18-000043
FEDERAL SIGNAL CORP /DE/ · FSS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jennifer L Sherman
Officer — President & CEO · Director
Period of report
Jun 7, 2018
Accepted (ET)
Jun 11, 2018 · 4:50 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 StockF1 | Jun 7, 2018 | M | 36,459 | $6.52 | A | 246,382 | D | |
| Common StockF2 | Jun 7, 2018 | S | 36,459 | $24.4559 | D | 209,914 | D | |
| Common Stock | Jun 8, 2018 | M | 8,818 | $6.52 | A | 218,732 | D | |
| Common StockF3 | Jun 8, 2018 | S | 8,818 | $24.1808 | D | 209,914 | D | |
| Common Stock | Jun 8, 2018 | M | 16,100 | $6.68 | A | 226,014 | D | |
| Common StockF4 | Jun 8, 2018 | S | 16,100 | $24.186 | D | 209,914 | D | |
| Common Stock | Jun 8, 2018 | M | 14,479 | $8.53 | A | 224,393 | D | |
| Common StockF5 | Jun 8, 2018 | S | 14,479 | $24.3067 | D | 209,914 | D | |
| Common Stock | Jun 8, 2018 | M | 6,806 | $10.04 | A | 216,720 | D | |
| Common StockF6 | Jun 8, 2018 | S | 6,806 | $24.213 | D | 209,914 | D | |
| Common Stock | Jun 11, 2018 | M | 13,394 | $10.04 | A | 223,308 | D | |
| Common StockF7 | Jun 11, 2018 | S | 13,394 | $24.2171 | D | 209,914 | D | |
| Common StockF8 | holding | — | — | — | 53,802 | I | held by 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)F9 | $6.52 | Jun 7, 2018 | M | 36,459 | D | — | May 4, 2021 | Common Stock | 36,459 | 0 | D |
| Stock Options (right-to-buy)F9 | $6.52 | Jun 8, 2018 | M | 8,818 | D | — | May 4, 2021 | Common Stock | 8,818 | 0 | D |
| Stock Options (right-to-buy)F10 | $6.68 | Jun 8, 2018 | M | 16,100 | D | — | Feb 20, 2019 | Common Stock | 16,100 | 0 | D |
| Stock Option (right-to-buy)F11 | $8.53 | Jun 8, 2018 | M | 14,479 | D | — | Aug 7, 2019 | Common Stock | 14,479 | 0 | D |
| Stock Options (right-to-buy)F12 | $10.04 | Jun 8, 2018 | M | 6,806 | D | — | Apr 26, 2020 | Common Stock | 6,806 | 0 | D |
| Stock Options (right-to-buy)F12 | $10.04 | Jun 11, 2018 | M | 13,394 | D | — | Apr 26, 2020 | Common Stock | 13,394 | 0 | D |
Explanation of responses
- F1692.712 shares were acquired through the dividend reinvestment plan.
- F10The option vested in three equal installments on February 20, 2010, 2011, and 2012.
- F11The option vested in three equal installments on August 7, 2010, 2011, and 2012.
- F12The option vested in three equal installments on April 26, 2011, 2012, and 2013.
- F2This transaction was executed in multiple trades at prices ranging from $24.25 to $24.68; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC, Federal Signal Corporation, or a security holder of Federal Signal Corporation.
- F3This transaction was executed in multiple trades at prices ranging from $24.18 to $24.20; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC, Federal Signal Corporation, or a security holder of Federal Signal Corporation.
- F4This transaction was executed in multiple trades at prices ranging from $24.18 to $24.22; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC, Federal Signal Corporation, or a security holder of Federal Signal Corporation.
- F5This transaction was executed in multiple trades at prices ranging from $24.30 to $24.34; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC, Federal Signal Corporation, or a security holder of Federal Signal Corporation.
- F6This transaction was executed in multiple trades at prices ranging from $24.18 to $24.24; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC, Federal Signal Corporation, or a security holder of Federal Signal Corporation.
- F7This transaction was executed in multiple trades at prices ranging from $24.20 to $24.27; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC, Federal Signal Corporation, or a security holder of Federal Signal Corporation.
- F8Shares held in account under the Federal Signal Corporation Retirement Savings Plan 401(k) dated January 1, 2007.
- F9The option vested in three equal installments on May 4, 2012, 2013, and 2014.