SEC Form 4 · accession 0001140361-16-068501
MODINE MANUFACTURING CO · MOD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael B Lucareli
Officer — VP, Finance & CFO
Period of report
May 31, 2016
Accepted (ET)
Jun 3, 2016 · 4:37 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000067347
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stockF1,F2 | May 31, 2016 | A | 24,900 | $0.00 | A | 111,400 | D | |
| Common stockF3,F2 | Jun 2, 2016 | F | 1,326 | $10.41 | D | 110,074 | D | |
| Common stockF2 | Jun 2, 2016 | F | 1,720 | $10.41 | D | 108,354 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common stockF4 | $10.00 | May 31, 2016 | A | 27,065 | A | — | May 31, 2026 | Common stock | 27,065 | 27,065 | D |
Explanation of responses
- F1This stock award will vest in four equal annual increments commencing on 5/31/17.
- F2This total includes 971 units of Modine common stock held in the Reporting Person's Modine 401(k) Retirement Plan account.
- F3Shares disposed of in a private transaction to cover tax withholding.
- F4This option will vest in four equal annual increments commencing on 5/31/17.