Statement of Changes in Beneficial Ownership (4)
June 13 2017 - 2:37PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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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
*
Brady Matthew B
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2. Issuer Name
and
Ticker or Trading Symbol
FEDERAL SIGNAL CORP /DE/
[
FSS
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Sr. V.P.-Safety & Security Sys
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(Last)
(First)
(Middle)
1415 W. 22ND STREET, SUITE 1100
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3. Date of Earliest Transaction
(MM/DD/YYYY)
6/9/2017
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(Street)
OAK BROOK, IL 60523
(City)
(State)
(Zip)
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4. 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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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6/9/2017
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M
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892
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A
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$5.50
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14262
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D
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Common Stock
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6/9/2017
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M
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2200
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A
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$8.40
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16462
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D
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Common Stock
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6/9/2017
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M
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3704
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A
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$16.09
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20166
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D
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Common Stock
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6/9/2017
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M
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2318
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A
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$14.48
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22484
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D
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Common Stock
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6/9/2017
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M
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3153
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A
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$14.83
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25637
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D
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Common Stock
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6/9/2017
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M
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5925
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A
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$12.66
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31562
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D
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Common Stock
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6/9/2017
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F
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15922
(1)
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D
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$17.01
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15640
(2)
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D
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Common Stock
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15144
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I
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Shares held in 401(k) plan
(3)
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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. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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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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Stock Options (right-to-buy)
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$5.5
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6/9/2017
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M
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892
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(4)
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5/9/2022
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Common Stock
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892.0
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$0
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0
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D
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Stock Options (right-to-buy)
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$8.4
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6/9/2017
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M
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2200
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(5)
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5/9/2023
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Common Stock
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2200.0
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$0
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0
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D
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Stock Options (right-to-buy)
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$16.09
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6/9/2017
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M
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3704
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(6)
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4/10/2025
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Common Stock
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3704.0
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$0
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1852
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D
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Stock Options (right-to-buy)
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$14.48
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6/9/2017
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M
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2318
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(7)
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5/5/2024
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Common Stock
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2318.0
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$0
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0
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D
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Stock Options (right-to-buy)
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$14.83
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6/9/2017
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M
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3153
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(8)
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12/5/2023
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Common Stock
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3153.0
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$0
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0
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D
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Stock Option (right-to-buy)
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$12.66
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6/9/2017
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M
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5925
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(9)
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5/5/2026
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Common Stock
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5925.0
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$0
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11848
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D
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Explanation of Responses:
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(1)
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This amount represents the total amount of shares withheld to cover payment of the exercise price and applicable tax withholding for each class of securities listed in Table II.
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(2)
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Some shares are subject to restrictions and forfeiture under Company Stock Benefit Plan.
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(3)
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Shares held in account under the Federal Signal Corporation Retirement Savings Plan 401(k) dated January 1, 2007.
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(4)
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The option was granted on 5/9/2012 and vested in three equal annual installments. The option became fully vested and exercisable as of 5/9/2015.
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(5)
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The option was granted on 5/9/2013 and vested in three equal annual installments. The option became fully vested and exercisable as of 5/9/2016.
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(6)
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The option was granted on 4/10/2015 and vested in three equal annual installments. The remaining 1,852 shares vest on 4/10/2018.
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(7)
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The option was granted on 5/5/2014 and vested in three equal annual installments. The option became fully vested and exercisable as of 5/5/2017.
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(8)
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The option was granted on 12/5/2013 and vested in three equal annual installments. The option became fully vested and exercisable as of 12/5/2016.
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(9)
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The option was granted on 5/5/2016 and vested in three equal annual installments. 5,924 shares vest on 5/5/2018, and the remaining 5,924 shares vest on 5/5/2019.
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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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Brady Matthew B
1415 W. 22ND STREET
SUITE 1100
OAK BROOK, IL 60523
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Sr. V.P.-Safety & Security Sys
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Signatures
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Daniel A. DuPre, attorney-in-fact for Matthew B. Brady
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6/13/2017
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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 4(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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