SEC Form 4 · accession 0001127602-15-025910
FERRO CORP · FOE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter T Thomas
Officer — Chairman, President and CEO · Director
Period of report
Aug 24, 2015
Accepted (ET)
Aug 26, 2015 · 4:26 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000035214
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 24, 2015 | P | 20,000 | $11.97 | A | 139,818 | D | |
| Common Stock | holding | — | — | — | 1,175 | I | Investment Savings Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance Share UnitF1 | $0.00 | holding | — | — | — | — | Dec 31, 2016 | Common Stock | 115,100 | 115,100 | D |
| Performance Share UnitF1 | $0.00 | holding | — | — | — | — | Dec 31, 2015 | Common Stock | 200,130 | 200,130 | D |
| Performance Share UnitF1 | $0.00 | holding | — | — | — | — | Dec 31, 2017 | Common Stock | 124,200 | 124,200 | D |
| Phantom SharesF2,F3 | — | holding | — | — | — | — | — | Common Stock | 70,849 | 70,849 | D |
| Restricted Share Unit | $0.00 | holding | — | — | — | Apr 24, 2016 | Apr 24, 2016 | Common Stock | 17,480 | 17,480 | D |
| Restricted Share Unit | $0.00 | holding | — | — | — | Feb 20, 2017 | Feb 20, 2017 | Common Stock | 46,100 | 46,100 | D |
| Restricted Share Unit | $0.00 | holding | — | — | — | Dec 29, 2017 | Dec 29, 2017 | Common Stock | 100,000 | 100,000 | D |
| Restricted Share Unit | $0.00 | holding | — | — | — | Feb 23, 2015 | Feb 23, 2015 | Common Stock | 21,200 | 21,200 | D |
| Restricted Share Unit | $0.00 | holding | — | — | — | Feb 23, 2016 | Feb 23, 2016 | Common Stock | 32,800 | 32,800 | D |
| Restricted Share Unit | $0.00 | holding | — | — | — | Feb 18, 2018 | Feb 18, 2018 | Common Stock | 49,700 | 49,700 | D |
| Stock Options (Right to Buy) | $20.69 | holding | — | — | — | Feb 16, 2007 | Feb 16, 2016 | Common Stock | 15,500 | 15,500 | D |
| Stock Options (Right to Buy) | $21.99 | holding | — | — | — | Feb 6, 2008 | Feb 6, 2017 | Common Stock | 25,000 | 25,000 | D |
| Stock Options (Right to Buy) | $17.26 | holding | — | — | — | Feb 28, 2009 | Feb 28, 2018 | Common Stock | 25,000 | 25,000 | D |
| Stock Options (Right to Buy) | $8.25 | holding | — | — | — | Feb 25, 2011 | Feb 25, 2020 | Common Stock | 45,000 | 45,000 | D |
| Stock Options (Right to Buy) | $7.02 | holding | — | — | — | Apr 24, 2014 | Apr 24, 2023 | Common Stock | 98,800 | 98,800 | D |
| Stock Options (Right to Buy) | $1.37 | holding | — | — | — | Feb 25, 2010 | Feb 25, 2019 | Common Stock | 20,033 | 20,033 | D |
| Stock Options (Right to Buy) | $15.16 | holding | — | — | — | Feb 24, 2012 | Feb 24, 2021 | Common Stock | 38,000 | 38,000 | D |
| Stock Options (Right to Buy) | $6.84 | holding | — | — | — | Feb 23, 2013 | Feb 23, 2022 | Common Stock | 45,500 | 45,500 | D |
| Stock Options (Right to Buy) | $5.29 | holding | — | — | — | Feb 21, 2014 | Feb 21, 2023 | Common Stock | 68,800 | 68,800 | D |
| Stock Options (Right to Buy) | $13.09 | holding | — | — | — | Feb 20, 2015 | Feb 20, 2024 | Common Stock | 95,300 | 95,300 | D |
| Stock Options (Right to Buy) | $12.33 | holding | — | — | — | Feb 18, 2016 | Feb 18, 2025 | Common Stock | 107,300 | 107,300 | D |
Explanation of responses
- F1Performance Share Units granted as a performance award, vesting based upon degree of acheivement of performance goal. At the end of the performance period, 50% of award is paid in common shares free of restrictions, and 50% is paid in cash. If the final amount is less than 100% of the share units, the balance is forfeited to the company.
- F2Represent phantom shares awarded under the Company's Supplemental Defined Contribution Plan for Executive Employees. These shares were previously disclosed in Table I of this Form and have been moved to Table II of this Form. This transaction is not a disposition.
- F3Represent phantom shares awarded under the Company's Supplemental Defined Contribution Plan for Executive Employees.