Amended Statement of Changes in Beneficial Ownership (4/a)
September 06 2019 - 6:50PM
Edgar (US Regulatory)
FORM 4
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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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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
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Watorek Jeffrey J. |
2. Issuer Name and Ticker or Trading Symbol
GIBRALTAR INDUSTRIES, INC.
[
ROCK
]
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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) VP, Treasurer, Secretary
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(Last)
(First)
(Middle)
3556 LAKE SHORE ROAD, P.O. BOX 2028 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/4/2019
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(Street)
BUFFALO, NY 14219-0228
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
9/6/2019
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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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9/4/2019
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A
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309 (1)
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A
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$0.00
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4411
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D
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Common Stock
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9/4/2019
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F
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130 (2)
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D
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$39.47
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4281
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D
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Common Stock
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9/6/2019
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A
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142 (1)
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A
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$0.00
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4423
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D
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Common Stock
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9/6/2019
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F
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60 (2)
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D
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$40.61
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4363
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D
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RSU (LTIP 4/3/2017) (3)
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254
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D
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Common Stock (401k)
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333.905
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I
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401k
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Discretionary RSU (May 2017)
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2000
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D
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Performance Stock Unit (March 2019)
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3254
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D
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Performance Stock Units (April 2017)
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627
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D
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Performance Stock Unit (March 2018)
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3608
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D
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Restricted Stock Unit (LTIP 3/1/2019)
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542
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D
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Restricted Stock Units (LTIP 3/1/2018)
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473
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D
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RSU (LTIP 9/6/2016)
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142
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D
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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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Option (September 2010)
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$8.90
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(4)
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9/13/2020
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Common Stock
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2000
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2000
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D
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Option (September 2011)
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$9.74
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(4)
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9/13/2021
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Common Stock
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2500
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2500
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D
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Explanation of Responses:
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(1)
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Represents the conversion of restricted stock units awarded as part of the Company 's Long Term Incentive Plan into common stock upon vesting.
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(2)
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Represents common stock retained by the Company upon conversion of the Reporting Person's restricted stock units into shares of common stock in satisfaction of the Reporting Person's individual minimum statutory withholding obligations.
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(3)
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Represents restricted stock units awarded as part of the Company 's Long Term Incentive Plan. Twenty-five percent (25%) of the total units awarded vest and are payable, solely in shares of common stock of the Company on each anniversary of the April 3, 2017 award date.
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(4)
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Twenty-five percent (25%) of the total number of options granted vest and become exercisable on each anniversary grant date.
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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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Watorek Jeffrey J. 3556 LAKE SHORE ROAD P.O. BOX 2028 BUFFALO, NY 14219-0228
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VP, Treasurer, Secretary
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Signatures
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/s/ Paul J. Schulz, Attorney in Fact for Jeffrey J. Watorek
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9/6/2019
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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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