SEC Form 4 · accession 0000063296-16-000169
MATTHEWS INTERNATIONAL CORP · MATW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven F Nicola
Officer — CFO, Secretary and Treasurer
Period of report
Nov 11, 2016
Accepted (ET)
Nov 15, 2016 · 4:22 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000063296
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Nov 11, 2016 | F | 943 | $66.65 | D | 128,612 | D | |
| Class A Common Stock | Nov 15, 2016 | F | 6,050 | $66.95 | D | 128,612 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock OptionF2 | $40.56 | Nov 15, 2016 | D | 14,666 | D | Nov 15, 2009 | Nov 15, 2016 | Class A Common Stock | 14,666 | 0 | D |
Explanation of responses
- F1Sale of Shares to the registrant to cover tax withholdings on the vesting of restricted shares.
- F2The transaction represents the forfeiture of employee stock options, granted under the Company's 1992 Stock Incentive Plan, which did not meet a stock price performance target prior to the expiration of the option term.