SEC Form 4 · accession 0001209191-18-060474
Gentherm Inc · THRM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth John Phillips
Officer — VP & General Counsel/Secretary
Period of report
Nov 28, 2018
Accepted (ET)
Nov 30, 2018 · 7:04 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000903129
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 28, 2018 | M | 500 | $38.05 | A | 31,698 | D | |
| Common Stock | Nov 28, 2018 | S | 500 | $45.90 | D | 31,198 | D | |
| Common Stock | Nov 29, 2018 | M | 8,500 | $38.05 | A | 39,698 | D | |
| Common StockF2 | Nov 29, 2018 | S | 8,500 | $45.9255 | D | 31,198 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to Purchase Common StockF3 | $38.05 | Nov 28, 2018 | M | 500 | D | Feb 22, 2018 | Feb 22, 2024 | Common Stock | 500 | 44,500 | D |
| Option to Purchase Common StockF3 | $38.05 | Nov 29, 2018 | M | 8,500 | D | Feb 22, 2018 | Feb 22, 2024 | Common Stock | 8,500 | 36,000 | D |
Explanation of responses
- F1Transaction completed pursuant to a plan previously entered into by the reporting person pursuant to SEC Rule 10b5-1.
- F2This price represents the weighted average price of multiple transactions reported on this line. The shares were sold at prices ranging from $45.90 to $45.99 per share. Upon request by the SEC staff, the issuer or any security holder of the issuer, the reporting person will provide full information regarding the number of shares sold at each separate price.
- F3The amount represents the total number of derivative securities Benefically Owned of the class shown (i.e. the same exercise price and expiration date). The Reporting Person owns a total of 96,000 Options to Purchase Common Stock of varying classes (i.e. varying exercise prices and expiration dates).