Statement of Changes in Beneficial Ownership (4)
February 12 2021 - 5:34PM
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
*
Gonzalez Rachel A |
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)
2/10/2021 |
(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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Common Stock, par value $0.01 | 2/11/2021 | | M | | 8312.0000 | A | $22.5100 | 25891.0000 | D | |
Common Stock, par value $0.01 | 2/11/2021 | | M | | 140.0000 | A | $22.5100 | 26031.0000 | D | |
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) | 2/10/2021 | | A | | 5877.0000 | | 2/10/2022 (3) | (3) | Common Stock, par value $0.01 | 5877.0000 | $0.0000 | 5877.0000 | D | |
Dividend Equivalent Rights | (4) | 2/11/2021 | | M | | | 140.0000 | (4) | (4) | Common Stock, par value $0.01 | 140.0000 | $0.0000 | 0.0000 | D | |
Restricted Stock Units (1) | (2) | 2/11/2021 | | M | | | 8312.0000 | 2/11/2021 (3) | (3) | Common Stock, par value $0.01 | 8312.0000 | $0.0000 | 0.0000 | D | |
Explanation of Responses: |
(1) | Restricted stock units granted pursuant to the Dana Incorporated 2017 Omnibus Incentive Plan. |
(2) | Each restricted stock unit granted represents the right to receive one share of Dana common stock or, at the election of Dana, cash equal to the market value per share. Each restricted stock unit contains dividend equivalent rights. |
(3) | Restricted stock units granted vest in full on the first anniversary date of the grant. |
(4) | Dividend equivalent rights accrued on previously granted restricted stock units and become exercisable proportionately with the restricted stock units to which they relate, which have vested. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Gonzalez Rachel A 3939 TECHNOLOGY DRIVE MAUMEE, OH 43537 | X |
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Signatures
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/s/ Laura L. Aossey on behalf of Rachel A. Gonzalez | | 2/12/2021 |
**Signature of Reporting Person | Date |
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