SEC Form 4 · accession 0001140361-17-046342
MODINE MANUFACTURING CO · MOD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Holger Schwab
Officer — VP, VTS
Period of report
Dec 14, 2017
Accepted (ET)
Dec 15, 2017 · 12:12 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 stock | Dec 14, 2017 | M | 4,638 | $14.94 | A | 47,225 | D | |
| Common stock | Dec 14, 2017 | S | 4,638 | $20.1011 | D | 42,587 | D | |
| Common stock | Dec 14, 2017 | M | 3,404 | $11.39 | A | 45,991 | D | |
| Common stock | Dec 14, 2017 | S | 3,404 | $20.1011 | D | 42,587 | D | |
| Common stock | Dec 14, 2017 | M | 3,099 | $10.00 | A | 45,686 | D | |
| Common stock | Dec 14, 2017 | S | 3,099 | $20.1011 | D | 42,587 | 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 optionF1 | $14.94 | Dec 14, 2017 | M | 4,638 | D | — | Jun 2, 2024 | Common stock | 4,638 | 1,546 | D |
| Employee stock optionF2 | $11.39 | Dec 14, 2017 | M | 3,404 | D | — | Jun 2, 2025 | Common stock | 3,404 | 3,404 | D |
| Employee stock optionF3 | $10.00 | Dec 14, 2017 | M | 3,099 | D | — | May 31, 2026 | Common stock | 3,099 | 9,300 | D |
Explanation of responses
- F1This option vests in four equal installments on June 2, 2015, 2016, 2017, and 2018.
- F2This option vests in four equal installments on June 2, 2016, 2017, 2018, and 2019.
- F3This option vests in four equal installments on May 31, 2017, 2018, 2019, and 2020.