SEC Form 4 · accession 0001562180-19-001111
FERRO CORP · FOE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Barna
Officer — Chief Accounting Officer
Period of report
Feb 17, 2019
Accepted (ET)
Feb 20, 2019 · 4:10 pm EST
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 StockF1 | Feb 17, 2019 | M | 1,500 | $0.00 | A | 7,250 | D | |
| Common Stock | Feb 18, 2019 | F | 513 | $17.40 | D | 6,737 | 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 UnitsF1 | $0.00 | Feb 17, 2019 | M | 1,500 | D | Feb 17, 2019 | Feb 17, 2026 | Common Stock | 1,500 | 0 | D |
| Performance Share UnitF2 | $0.00 | holding | — | — | — | — | Dec 31, 2018 | Common Stock | 3,700 | 3,700 | D |
| Performance Share UnitF2 | $0.00 | holding | — | — | — | — | Dec 31, 2019 | Common Stock | 3,500 | 3,500 | D |
| Performance Share UnitF2 | $0.00 | holding | — | — | — | — | Dec 31, 2020 | Common Stock | 2,300 | 2,300 | D |
| Phantom SharesF3 | $0.00 | holding | — | — | — | — | — | Common Stock | 2,478 | 2,478 | D |
| Restricted Share Unit | $0.00 | holding | — | — | — | Feb 15, 2020 | Feb 15, 2020 | Common Stock | 1,400 | 1,400 | D |
| Restricted Share Unit | $0.00 | holding | — | — | — | Feb 21, 2021 | Feb 21, 2021 | Common Stock | 900 | 900 | D |
| Stock Options (Right to Buy)F4 | $22.01 | holding | — | — | — | — | Feb 21, 2028 | Common Stock | 3,000 | 3,000 | D |
| Stock Options (Right to Buy) | $14.27 | holding | — | — | — | Feb 15, 2018 | Feb 15, 2027 | Common Stock | 4,100 | 4,100 | D |
| Stock Options (Right to Buy) | $12.33 | holding | — | — | — | Feb 18, 2016 | Feb 18, 2025 | Common Stock | 833 | 833 | D |
| Stock Options (Right to Buy) | $9.60 | holding | — | — | — | Feb 17, 2017 | Feb 17, 2026 | Common Stock | 3,667 | 3,667 | D |
Explanation of responses
- F1Restricted share units convert into Common Stock on a one-to-one basis.
- F2Performance Share Units granted as a performance award, vesting based upon degree of achievement 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.
- F3Represent phantom shares awarded under the Company's Supplemental Defined Contribution Plan for Executive Employees.
- F433+% per year for 3 years beginning on 21-Feb-2019