SEC Form 4 · accession 0000063296-16-000172
MATTHEWS INTERNATIONAL CORP · MATW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian J Dunn
Officer — EVP, Strategy & Corp. Develop.
Period of report
Nov 15, 2016
Accepted (ET)
Nov 17, 2016 · 3:14 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 15, 2016 | M | 333 | $40.56 | A | 65,444 | D | |
| Class A Common Stock | Nov 15, 2016 | F | 243 | $66.88 | D | 65,444 | 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 | 5,334 | D | Nov 15, 2009 | Nov 15, 2016 | Class A Common Stock | 5,334 | 0 | D |
| Employee Stock Option | $40.56 | Nov 15, 2016 | M | 333 | D | Nov 15, 2009 | Nov 15, 2016 | Class A Common Stock | 333 | 0 | D |
Explanation of responses
- F1Sale of shares to the registrant to cover the exercise price of employee stock options and the related tax withholdings upon stock option exercise.
- 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.