SEC Form 3 · accession 0001225208-19-004754
BORGWARNER INC · BWA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Craig Aaron
Officer — Treasurer
Period of report
Mar 1, 2019
Accepted (ET)
Mar 6, 2019 · 9:15 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000908255
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 14,001 | D | ||
| Common StockF1 | holding | — | — | — | 2,122 | I | By 401k |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF3,F2 | — | holding | — | — | — | — | — | Common Stock | 192 | — | D |
Explanation of responses
- F1The information in this report is based on a 401(k) plan statement dated as of 2/28/2019.
- F2The phantom stock units were acquired under the BorgWarner Inc. Excess Benefit Plan and are to be settled 100% in cash upon the reporting person's retirement or separataion from service.
- F3Each phantom stock unit is the economic equivalent of one share of BorgWarner Inc. common stock.