SEC Form 4 · accession 0001179110-16-032636
TOOTSIE ROLL INDUSTRIES INC · TR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ellen R Gordon
Officer — President · Director · 10% Owner
Period of report
Dec 6, 2016
Accepted (ET)
Dec 8, 2016 · 6:09 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000098677
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stock | Dec 6, 2016 | P | 53,355 | $38.45 | A | 6,024,923 | I | By Trust for Children |
| Common stock | Dec 6, 2016 | S | 53,355 | $38.45 | D | 1,234,099 | I | By Charitable Foundation |
| Common stock | holding | — | — | — | 10,637,563 | D | ||
| Common stock | holding | — | — | — | 1,728,678 | I | As trustee of estate of spouse | |
| Common stock | holding | — | — | — | 82,634 | I | By TRI Stock Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class B Common stockF1 | — | holding | — | — | — | — | — | Common stock | — | 11,761,378 | D |
| Class B Common stockF1 | — | holding | — | — | — | — | — | Common stock | — | 6,520,169 | I |
| Class B Common stockF1 | — | holding | — | — | — | — | — | Common stock | — | 1,728,678 | I |
Explanation of responses
- F1Class B Common stock is freely convertible into Common stock on a share-for-share basis