SEC Form 4 · accession 0001140361-17-044630
MODINE MANUFACTURING CO · MOD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew J McBurney
Officer — VP, Strategic Planning and Dev
Period of report
Nov 30, 2017
Accepted (ET)
Dec 1, 2017 · 5:04 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 30, 2017 | M | 1,000 | $13.33 | A | 32,321 | D | |
| Common stockF1 | Nov 30, 2017 | S | 1,000 | $22.9704 | D | 31,321 | D | |
| Common stockF1 | Nov 30, 2017 | M | 2,522 | $9.26 | A | 33,843 | D | |
| Common stockF1 | Nov 30, 2017 | S | 2,522 | $22.9704 | D | 31,321 | 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 30, 2017 | M | 1,000 | A | — | Feb 11, 2018 | Common stock | 1,000 | 0 | D |
| Employee stock optionF3 | $9.26 | Nov 30, 2017 | M | 2,522 | A | — | Jun 11, 2020 | Common stock | 2,522 | 0 | D |
Explanation of responses
- F1This total includes 320 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 11, 2008, 2009, 2010, and 2011.
- F3This option vested in four equal installments on June 11, 2010, 2011, 2012, and 2013.