SEC Form 4 · accession 0001140361-17-023520
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, 2017
Accepted (ET)
Jun 2, 2017 · 3:33 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, 2017 | F | 2,163 | $15.20 | D | 105,859 | D | |
| Common stockF3,F2 | Jun 1, 2017 | A | 16,415 | $0.00 | A | 122,274 | 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 | $15.90 | Jun 1, 2017 | A | 17,842 | A | — | Jun 1, 2027 | Common stock | 17,842 | 17,842 | D |
Explanation of responses
- F1Shares disposed of in a private transaction to cover tax withholding.
- F2This total includes 971 units of Modine common stock held in the Reporting Person's Modine 401(k) Retirement Plan account.
- F3This is an award of restricted stock units which will vest in four equal annual installments commencing on 6/1/18. Each restricted stock unit represents a contingent right to receive one share of MOD common stock.
- F4This option will vest in four equal annual installments commencing on 6/1/18.