Initial Statement of Beneficial Ownership (3)
November 14 2016 - 8:35AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Craft John David
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2. Date of Event Requiring Statement (MM/DD/YYYY)
11/2/2016
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3. Issuer Name
and
Ticker or Trading Symbol
COMPASS MINERALS INTERNATIONAL INC [CMP]
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(Last)
(First)
(Middle)
C/O 9900 WEST 109TH STREET, SUITE 100
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
Interim CFO /
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(Street)
OVERLAND PARK, KS 66210
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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46
(1)
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I
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401(k) Plan
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Restricted Stock Unit
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3/30/2018
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3/30/2018
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Common Stock
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181.0
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(2)
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D
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Restricted Stock Unit
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4/1/2019
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4/1/2019
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Common Stock
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233.0
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(3)
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D
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Stock Option (Right to Buy)
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(4)
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3/30/2022
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Common Stock
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1187.0
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$93.26
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D
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Stock Option (Right to Buy)
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(5)
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4/1/2023
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Common Stock
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1662.0
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$70.48
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D
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Performance Stock Unit(rTSR)
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3/30/2018
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3/30/2018
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Common Stock
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152.0
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(6)
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D
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Performance Stock Unit(rTSR)
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4/1/2019
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4/1/2019
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Common Stock
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219.0
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(6)
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D
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Performance Stock Unit(ROIC)
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3/30/2018
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3/30/2018
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Common Stock
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181.0
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(7)
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D
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Performance Stock Unit(ROIC)
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4/1/2019
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4/1/2019
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Common Stock
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233.0
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(7)
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D
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Explanation of Responses:
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(
1)
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The information in this report is based on a 401(k) plan statement dated as of 11/03/2016.
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(
2)
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Each restricted stock unit represents a contingent right to receive one share of Issuer common stock. A performance hurdle tied to the Issuer's 2015 financial performance has been satisfied.
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(
3)
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Each restricted stock unit represents a contingent right to receive one share of Issuer common stock. Vesting is contingent on satisfaction of a performance hurdle tied to the Issuer's 2016 financial performance.
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(
4)
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This stock option award vested 25% on 03/30/2016 and then vests in three equal annual installments of 25% each beginning on the second anniversary of the grant date.
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(
5)
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This stock option award vests in four equal annual installments of 25% each beginning on the first anniversary of the grant date.
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(
6)
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Each performance stock unit represents a contingent right to receive between 0% and 150% of one share of Issuer common stock. The reported number of securities represents the target number of shares that may be earned. The actual number of shares that may be earned will be calculated by comparing the Issuer's relative total shareholder return to the total shareholder return for each company comprising the Russell 3000 Index over a three-year performance period.
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(
7)
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Each performance stock unit represents a contingent right to receive between 0% and 200% of one share of Issuer common stock. The reported number of securities represents the target number of shares that may be earned. The actual number of shares that may be earned will be calculated based on the average of the Issuer's annual return on invested capital for each year over a three-year performance period.
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Remarks:
Exhibit 24 - Power of Attorney
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Craft John David
C/O 9900 WEST 109TH STREET
SUITE 100
OVERLAND PARK, KS 66210
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Interim CFO
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Signatures
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/s/ Robert B. Porter as Attorney-in-Fact
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11/14/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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