Statement of Changes in Beneficial Ownership (4)
April 02 2020 - 4:14PM
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).
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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HILLENBRAND DANIEL C. |
2. Issuer Name and Ticker or Trading Symbol
Hillenbrand, Inc.
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HI
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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)
ONE BATESVILLE BLVD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/31/2020 |
(Street)
BATESVILLE, IN 47006
(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 | | | | | | | | 1000 | D | |
Common Stock | | | | | | | | 712525 | I | By Generations, LP |
Common Stock | | | | | | | | 45719 | I | By Clear Water Capital Partners, LP |
Common Stock | | | | | | | | 8631 | I | By John and Joan GC TR FBO (John, Rose and Olicia) |
Common Stock | | | | | | | | 5754 (1) | I | By John and Joan GC TR FBO (Eleanor and Sarah) |
Common Stock | | | | | | | | 48611 | I | By Hillenbrand II TR FBO (John, Rose and Olivia) |
Common Stock | | | | | | | | 28248 | I | By John and Joan CRT IMA |
Common Stock | | | | | | | | 20000 (1) | I | By Anne Hillenbrand Singleton Trust |
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 (Deferred Stock Awards) 5/10/18 | (2) | 3/31/2020 | | A (3) | | 10 | | (4) | (4) | Common Stock | 10 | $0 | 982 | D | |
Restricted Stock Units (Deferred Stock Awards) 2/14/19 | (2) | 3/31/2020 | | A (3) | | 28 | | (4) | (4) | Common Stock | 28 | $0 | 2585 | D | |
Restricted Stock Units (Deferred Stock Awards) 2/13/20 | (2) | 3/31/2020 | | A (3) | | 42 | | (4) | (4) | Common Stock | 42 | $0 | 3860 | D | |
RESTRICTED STOCK UNITS CUMULATIVE TOTAL | (2) | | | | | | | (4) | (4) | Common Stock | 80 (5) | | 7427 (5) | D | |
Explanation of Responses: |
(1) | The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or any other purpose. |
(2) | Conversion or Exercise Price of Derivative Securities is 1-for-1. |
(3) | Restricted Stock Units are entitled to dividend equivalent rights which accrue on dividend record dates. |
(4) | These stock units vest immediately upon grant. However, delivery of these shares will not occur until the occurrence of one of the following: a change in control of the Company, the director's death or permanent and total disability, or one day after the date the director ceases to be a director of the Company. |
(5) | This amount represents the cumulative total of all Restricted Stock Units (deferred stock awards) granted to reporting person. This cumulative total does not represent additional Restricted Stock Units granted to the reporting person, but is merely a total of all awards reported separately on this SEC Form 4. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
HILLENBRAND DANIEL C. ONE BATESVILLE BLVD BATESVILLE, IN 47006 | X |
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Signatures
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/s/ Patricia C. Lecher, as Attorney-in-Fact for Daniel C. Hillenbrand | | 4/2/2020 |
**Signature of Reporting Person | Date |
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