SEC Form 4 · accession 0001140361-17-041111
MODINE MANUFACTURING CO · MOD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott D Wollenberg
Officer — VP - CTO
Period of report
Nov 3, 2017
Accepted (ET)
Nov 6, 2017 · 2:21 pm EST
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 | Nov 3, 2017 | M | 2,000 | $13.33 | A | 66,920 | D | |
| Common stockF1 | Nov 3, 2017 | S | 2,000 | $23.5491 | D | 64,920 | D | |
| Common stockF1 | Nov 3, 2017 | M | 4,414 | $9.26 | A | 69,334 | D | |
| Common stockF1 | Nov 3, 2017 | S | 4,414 | $23.5491 | D | 64,920 | 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 | Nov 3, 2017 | M | 2,000 | D | — | Feb 11, 2018 | Common stock | 2,000 | 0 | D |
| Employee stock optionF3 | $9.26 | Nov 3, 2017 | M | 4,414 | D | — | Jun 11, 2020 | Common stock | 4,414 | 0 | D |
Explanation of responses
- F1This total includes 915 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 February 2, 2008, 2009, 2010, and 2011.
- F3This option vested in four equal installments on June 11, 2010, 2011, 2012, and 2013.