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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 | ||||||||
Option (right to buy) | $ 6.64 | 05/15/2016 | D(3) | 59,953 | 11/27/2013 | 11/27/2022 | Common Stock | 59,953 | (3) | 0 | D | ||||
Option (right to buy) | $ 6.64 | 05/15/2016 | A(3) | 59,953 | 05/15/2016 | 11/27/2022 | Common Stock | 59,953 | (3) | 59,953 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GALLAGHER JOHN J III C/O MILACRON HOLDINGS CORP. 3010 DISNEY STREET CINCINNATI, OH 45209 |
Former Officer |
/s/Hugh O'Donnell, as Attorney-in-Fact for John J. Gallagher III | 05/17/2016 | |
**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) | Reflects the forfeiture of 10,156 shares previously reported as restricted stock that were subject to vesting and forfeiture, and the vesting of 3,907 previously restricted shares, in connection with the termination of the Reporting Person's employment. |
(2) | These securities are directly held by Stellar CJS Holdings, LLC, of which Mr. Gallagher and his spouse are the sole members, and may be deemed to be held by the Reporting Person. |
(3) | The two reported transactions involved the amendment of an outstanding option in conjunction with the termination of the Reporting Person's employment, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The "old" option was originally granted on November 27, 2012 for a total of 59,953 shares and provided for vesting in five equal annual installments; three of such installments (for a total of 35,971 shares) have now vested. Accordingly the "new" option will be immediately exercisable as to 35,971 shares and will become exercisable as to 11,991 shares on each of November 27, 2016 and 2017. |