SEC Form 4 · accession 0000902274-17-000039
LIBBEY INC · LBY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Veronica L Smith
Officer — Interim CFO
Period of report
Mar 1, 2017
Accepted (ET)
Mar 3, 2017 · 9:29 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 |
|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1 | Mar 1, 2017 | A | 3,347 | $13.60 | A | 10,619 | D | |
| Common Stock | holding | — | — | — | 777 | D | ||
| Common Stock | holding | — | — | — | 214 | I | By 401(k) Plan |
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 | $13.60 | Mar 1, 2017 | A | 6,769 | A | Feb 17, 2018 | Mar 1, 2027 | Common Stock | 6,769 | 6,769 | D |
| NQ - Stock Option (Right to Buy) | $17.00 | holding | — | — | — | Feb 10, 2012 | Feb 10, 2021 | Common Stock | 2,500 | 2,500 | D |
| NQ - Stock Option (Right to Buy) | $17.13 | holding | — | — | — | Feb 17, 2017 | Feb 25, 2026 | Common Stock | 8,962 | 8,962 | D |
| NQ - Stock Option (Right to Buy) | $13.95 | holding | — | — | — | Feb 17, 2013 | Feb 17, 2022 | Common Stock | 2,500 | 2,500 | D |
| NQ - Stock Option (Right to Buy) | $38.06 | holding | — | — | — | Feb 17, 2016 | Mar 2, 2025 | Common Stock | 2,483 | 2,483 | D |
| NQ - Stock Option (Right to Buy) | $23.02 | holding | — | — | — | Feb 24, 2015 | Feb 24, 2024 | Common Stock | 4,868 | 4,868 | D |
| NQ - Stock Option (Right to Buy) | $19.02 | holding | — | — | — | Feb 22, 2014 | Feb 22, 2023 | Common Stock | 3,216 | 3,216 | D |
Explanation of responses
- F1Restricted stock units will vest 25% on February 17th of each of 2018, 2019, 2020 and 2021 provided the grantee remains continuously employed by the Company as of those respective dates.
- F2The options become exercisable for 25% of the shares on February 17th of each of 2018, 2019, 2020 and 2021 provided the grantee remains continuously employed by the Company as of those respective dates.