Statement of Changes in Beneficial Ownership (4)
January 05 2021 - 4:37PM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
Mabus Raymond E |
2. Issuer Name and Ticker or Trading Symbol
DANA INC
[
DAN
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
3939 TECHNOLOGY DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/31/2020 |
(Street)
MAUMEE, OH 43537
(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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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) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units (1) | (2) | 12/31/2020 | | A | | 352.0000 (3) | | (4) | (4) | Common Stock, par value $0.01 | 352.0000 | $0.0000 | 2241.0000 | D | |
Explanation of Responses: |
(1) | Restricted stock units granted as a result of Reporting Person's election to defer a portion of his annual retainer paid for service on issuer's Board of Directors pursuant to the Dana Incorporation 2017 Omnibus Incentive Plan. |
(2) | Each restricted stock unit represents the right to receive (1) one share of common stock or, at the issuer's election, an equivalent cash amount. |
(3) | The number of restricted stock units credited are as of the last day of the quarter based on the quotient obtained by dividing (a) the dollar amount of the annual retainer earned by reporting person for the quarter by (b) the Market Value Per Share (as defined in the Plan) on the last day of the quarter (with the result being rounded down to the nearest whole number of restricted stock units). |
(4) | All restricted stock units are fully vested. Settlement occurs the earlier of either (i) the first business day of the calendar month coincident with or next following the date that reporting person terminates service as a director of the issuer, or (ii) the date on which occurs a change in control. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Mabus Raymond E 3939 TECHNOLOGY DRIVE MAUMEE, OH 43537 | X |
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Signatures
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/s/ Laura L. Aossey on behalf of Raymond E. Mabus | | 1/5/2021 |
**Signature of Reporting Person | Date |
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