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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 | ||||||||
Restricted Share Units | (1) | 03/21/2017 | A | 9,956 | (2) | (2) | Common Shares | 9,956 | $ 0 | 80,785 (3) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
STEFANKO ROBERT A 25435 HARVARD ROAD BEACHWOOD, OH 44122 |
X |
Frank P. Esposito, Attorney-in-fact for Robert A. Stefanko | 03/23/2017 | |
**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) | Each Restricted Share Unit represents the right to receive one OMNOVA common share at vesting. |
(2) | Under the terms of the OMNOVA Solutions Inc. Third Amended and Restated 1999 Equity and Performance Incentive Plan, the Restricted Share Units shall not vest until the later of one year following the date of grant or the Reporting Person's separation from service from the OMNOVA Solutions Inc. Board of Directors. |
(3) | For consistency with the Company's 2017 Equity Incentive Plan, the shares identified above, which were previously referred to as "Deferred Shares," will be referred to as "Restricted Share Units" going forward. Other than nomenclature, the terms and characteristics of these shares have not been changed from prior disclosures. |