SEC Form 4 · accession 0000913760-19-000054
StoneX Group Inc. · SNEX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles M Lyon
Other
Period of report
Feb 13, 2019
Accepted (ET)
Feb 15, 2019 · 4:51 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000913760
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 30,541 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1,F2,F3 | $45.00 | Feb 13, 2019 | A | 100,000 | A | Dec 5, 2021 | Dec 5, 2026 | Common Stock | 100,000 | 100,000 | D |
Explanation of responses
- F1The option grant was approved by the Company's Board of Directors on December 5, 2018, subject to shareholder approval of an Amendment to the Stock Option Plan under which the options were granted. The Company's shareholders approved the Amendment on February 13, 2019. The Amendment increased the number of shares that could be granted under the plan.
- F2The strike price of the grant was set by the Company's Board of Directors at 113.5% of the closing price on December 4, 2018.
- F3The options vest in equal tranches on each of the third, fourth, fifth, sixth and seventh anniversaries of the grant date.