Initial Statement of Beneficial Ownership (3)
February 15 2018 - 10:20AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
*
Mossing William C
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2. Date of Event Requiring Statement (MM/DD/YYYY)
2/6/2018
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3. Issuer Name
and
Ticker or Trading Symbol
LIBBEY INC [LBY]
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(Last)
(First)
(Middle)
300 MADISON AVENUE, 7TH FLOOR
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
VP, Chief Supply Chain Officer /
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(Street)
TOLEDO, OH 43604
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Restricted Stock Units
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22910
(1)
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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. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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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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Non-Qualified Stock Option (right to buy)
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12/1/2018
(2)
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12/1/2027
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Common Stock
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30123.0
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$6.75
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D
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Explanation of Responses:
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(1)
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Includes 14,000 restricted stock units granted December 1, 2017 that vest 100% on December 1, 2020 provided the grantee remains continuously employed by the Company as of that date; and 8,910 restricted stock units granted December 1, 2017 that vest in four equal annual installments beginning on December 1, 2018 provided the grantee remains continuously employed by the Company as of those respective dates.
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(2)
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The options become exercisable for 25% of the shares on December 1st of each of 2018, 2019, 2020 and 2021 provided the grantee remains continuously employed by the Company as of those respective dates.
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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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Mossing William C
300 MADISON AVENUE, 7TH FLOOR
TOLEDO, OH 43604
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VP, Chief Supply Chain Officer
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Signatures
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By: Debbie Hyndman, Attorney-in-Fact For William C. Mossing
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2/15/2018
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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 5(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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