SEC Form 4 · accession 0001140361-17-034089
MODINE MANUFACTURING CO · MOD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas Andrew Burke
Officer — President and CEO · Director
Period of report
Aug 31, 2017
Accepted (ET)
Sep 1, 2017 · 12:05 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 | Aug 31, 2017 | M | 24,348 | $13.33 | A | 454,673 | D | |
| Common stockF1 | Aug 31, 2017 | S | 24,348 | $16.1876 | D | 430,325 | D | |
| Common stockF1 | Aug 31, 2017 | M | 90,572 | $5.01 | A | 520,897 | D | |
| Common stockF1 | Aug 31, 2017 | S | 60,632 | $16.1876 | D | 460,265 | 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 | $13.33 | Aug 31, 2017 | M | 24,348 | D | — | Feb 11, 2018 | Common stock | 24,348 | 7,500 | D |
| Employee Stock OptionF3 | $5.01 | Aug 31, 2017 | M | 90,572 | D | — | Jun 9, 2019 | Common stock | 90,572 | 0 | D |
Explanation of responses
- F1Transactions regarding options with near-term expiration dates for tax planning purposes.
- F2This option vested in four equal installments on February 11, 2009, 2010, 2011, and 2012.
- F3This option vested in four equal installments on June 9, 2009, 2010, 2011, and 2012.