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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee stock options (right to buy) (1) | $ 66.23 | 03/27/2018 | M | 6,100 | (2) | 03/20/2024 | Common stock | 6,100 | $ 0 | 0 | D | ||||
Employee stock options (right to buy) (3) | $ 56.27 | 03/27/2018 | M | 7,100 | (2) | 02/19/2025 | Common stock | 7,100 | $ 0 | 0 | D | ||||
Employee stock options (right to buy) (4) | $ 68.5 | 03/27/2018 | M | 3,667 | (2) | 02/18/2026 | Common stock | 3,667 | $ 0 | 1,833 | D | ||||
Employee stock options (right to buy) (5) | $ 107.48 | 03/27/2018 | M | 1,222 | (2) | 02/13/2027 | Common stock | 1,222 | $ 0 | 2,444 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Ott Larry 39550 ORCHARD HILL PLACE NOVI, MI 48375 |
See remarks |
/s/ Joanna M. Totsky, on behalf of Larry Ott under power of attorney | 03/28/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | These are time-restricted employee stock options with the right to buy, granted to the reporting person on March 20, 2014, under the Cooper-Standard Holdings Inc. 2011 Omnibus Incentive Plan, as amended and restated. |
(2) | Subject to the reporting person's continued employment with the company or its affiliate, one third of the options shall vest on each of the first three anniversaries of the grant date. |
(3) | These are time-restricted employee stock options with the right to buy, granted to the reporting person on February 19, 2015, under the Cooper-Standard Holdings Inc. 2011 Omnibus Incentive Plan, as amended and restated. |
(4) | These are time-restricted employee stock options with the right to buy, granted to the reporting person on February 18, 2016, under the Cooper-Standard Holdings Inc. 2011 Omnibus Incentive Plan, as amended and restated. |
(5) | These are time-restricted employee stock options with the right to buy, granted to the reporting person on February 13, 2017, under the Cooper-Standard Holdings Inc. 2011 Omnibus Incentive Plan, as amended and restated. |
Remarks: Senior Vice President and Chief Human Resources Officer |