SEC Form 4 · accession 0001140361-17-035468
MODINE MANUFACTURING CO · MOD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott L Bowser
Officer — VP - Global Operations
Period of report
Sep 13, 2017
Accepted (ET)
Sep 14, 2017 · 1:53 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 | Sep 13, 2017 | M | 19,580 | $5.01 | A | 114,066 | D | |
| Common stockF1 | Sep 13, 2017 | M | 13,791 | $5.75 | A | 127,857 | 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 | $5.01 | Sep 13, 2017 | M | 19,580 | D | — | Jun 9, 2019 | Common stock | 19,580 | 0 | D |
| Employee Stock OptionF3 | $5.75 | Sep 13, 2017 | M | 13,791 | D | — | Jun 5, 2022 | Common stock | 13,791 | 0 | D |
Explanation of responses
- F1This total includes 4747 units of Modine common stock held in the Reporting Person's Modine 401(k) Retirement Plan account.
- F2This option vested in four equal installments on June 9, 2009, 2010, 2011, and 2012.
- F3This option vested in four equal installments on June 5, 2013, 2014, 2015, and 2016.