SEC Form 4 · accession 0000925177-18-000001
MOHAWK INDUSTRIES INC · MHK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey S Lorberbaum
Officer — Chairman and CEO · Director · 10% Owner
Period of report
May 7, 2018
Accepted (ET)
May 22, 2018 · 1:59 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000851968
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 7, 2018 | G | 420,668 | — | A | 420,668 | I | See FN 1 |
| Common StockF1 | May 7, 2018 | J | 420,668 | — | D | 420,668 | I | See FN 1 |
| Common StockF1 | May 7, 2018 | J | 420,668 | — | A | 420,668 | I | See FN 1 |
| Common StockF1 | May 7, 2018 | G | 420,668 | — | D | 420,668 | I | See FN 1 |
| Common Stock | holding | — | — | — | 8,293,785 | I | Aladdin Partners | |
| Common Stock | holding | — | — | — | 420,668 | I | Dalton Fund | |
| Common Stock | holding | — | — | — | 439,140 | I | Dalton Partners | |
| Common Stock | holding | — | — | — | 45,187 | D | ||
| Common Stock | holding | — | — | — | 315,002 | I | PAS Trust | |
| Common Stock | holding | — | — | — | 194 | I | Managed Account |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects an exchange of the reporting person's 99.8% LP interest in Dalton Fund LP to the Lorberbaum Trust (the "Legacy Trust") for a promissory note from the Legacy Trust and a gift of the reporting person's 0.1% interest in Dalton Fund LP to the Legacy Trust, in each case for estate planning purposes. Beth entities are controlled by the reporting person. Following this transaction, Dalton Fund LP continued to hold 420,668 issuer shares, which are indirectly beneficially owned by the reporting person due to his investment control over such shares. The reporting person disclaims beneficial ownership of the shares held by Dalton Fund LP except to the extent of his individual pecuniary interest in such shares.