SEC Form 4 · accession 0000902274-15-000208
LIBBEY INC · LBY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Susan A Kovach
Officer — VP,General Counsel & Secretary
Period of report
Nov 23, 2015
Accepted (ET)
Nov 24, 2015 · 3:05 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000902274
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 23, 2015 | I | 5,000 | $24.93 | D | 4,519 | I | By 401k Plan |
| Common Stock | holding | — | — | — | 54,104 | D | ||
| Restricted Stock Units | holding | — | — | — | 3,469 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| NQ - Stock Option (Right to Buy)F2 | $38.06 | holding | — | — | — | Feb 17, 2016 | Mar 2, 2025 | Common Stock | 4,685 | 4,685 | D |
| Non-Qualified Stock Option (right to buy)F3 | $13.95 | holding | — | — | — | Feb 17, 2013 | Feb 17, 2022 | Common Stock | 4,624 | 4,624 | D |
| NQ - Stock Option (Right to Buy) | $38.06 | holding | — | — | — | Feb 17, 2016 | Mar 2, 2025 | Common Stock | 4,685 | 4,685 | D |
| Non-Qualified Stock Option (right to buy)F3 | $15.35 | holding | — | — | — | Feb 15, 2009 | Feb 15, 2018 | Common Stock | 3,621 | 3,621 | D |
| Non-Qualified Stock Option (right to buy)F3 | $17.00 | holding | — | — | — | Feb 10, 2012 | Feb 10, 2021 | Common Stock | 3,625 | 3,625 | D |
| NQ - Stock Option (Right to Buy)F3 | $23.02 | holding | — | — | — | Feb 24, 2015 | Feb 24, 2024 | Common Stock | 6,413 | 6,413 | D |
| Non-Qualified Stock Option (right to buy)F3 | $19.02 | holding | — | — | — | Feb 22, 2014 | Feb 22, 2023 | Common Stock | 6,902 | 6,902 | D |
Explanation of responses
- F1The information reported herein is based upon information received from the record keeper of the Libbey Inc. 401k/104m plan. The Libbey Inc. shares attributed to the participant in this report as being held by the plan are the equivalent number of the shares the participant would receive of his entire Libbey Inc. share account if it was distributed to him in Libbey Inc. shares. The actual account in the plan consists of the Libbey Inc. shares and cash.
- F2The options become exercisable for 25% of the shares on February 17th of each of 2016, 2017, 2018 and 2019 provided the grantee remains continuously employed by the Company as of those respective dates.
- F3The options become exercisable for 25% of the shares on each of the first, second, third, and fourth anniversary dates.