Statement of Changes in Beneficial Ownership (4)
September 05 2018 - 4:10PM
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).
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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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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
*
Schlater Benjamin
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2. Issuer Name
and
Ticker or Trading Symbol
FERRO CORP
[
FOE
]
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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)
Chief Financial Officer
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(Last)
(First)
(Middle)
6060 PARKLAND BLVD, SUITE 250
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3. Date of Earliest Transaction
(MM/DD/YYYY)
9/1/2018
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(Street)
MAYFIELD HEIGHTS, OH 44124
(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
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9/1/2018
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M
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3676.00
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A
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(1)
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11616.00
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D
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Common Stock
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9/1/2018
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M
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8354.00
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A
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(1)
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19970.00
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D
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Common Stock
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9/4/2018
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F
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2411.00
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D
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$21.95
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17559.00
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D
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Common Stock
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9/4/2018
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F
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1246.00
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D
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$21.95
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16313.00
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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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Restricted Stock Units
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$0.00
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9/1/2018
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M
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3676.00
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9/1/2018
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9/1/2025
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Common Stock
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3676.00
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$0.00
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8354.00
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D
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Restricted Stock Units
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$0.00
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9/1/2018
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M
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8354.00
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9/1/2018
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9/1/2025
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Common Stock
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8354.00
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$0.00
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0.00
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D
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Performance Share Unit
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$0.00
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(2)
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12/31/2018
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Common Stock
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15700.00
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15700.00
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D
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Performance Share Unit
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$0.00
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(2)
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12/31/2019
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Common Stock
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17300.00
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17300.00
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D
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Performance Share Unit
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$0.00
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(2)
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12/31/2020
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Common Stock
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12500.00
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12500.00
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D
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Phantom Shares
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(3)
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(3)
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(3)
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Common Stock
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2917.2472
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2917.2472
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D
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Restricted Share Unit
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$0.00
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2/17/2019
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2/17/2019
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Common Stock
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4700.00
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4700.00
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D
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Restricted Share Unit
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$0.00
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9/1/2019
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9/1/2019
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Common Stock
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1500.00
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1500.00
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D
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Restricted Share Unit
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$0.00
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2/15/2020
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2/15/2020
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Common Stock
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6900.00
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6900.00
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D
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Restricted Share Unit
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$0.00
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2/21/2021
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2/21/2021
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Common Stock
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5000.00
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5000.00
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D
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Stock Options (Right to Buy)
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$22.01
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(4)
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2/21/2028
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Common Stock
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16500.00
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16500.00
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D
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Stock Options (Right to Buy)
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$14.27
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2/15/2018
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2/15/2027
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Common Stock
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20600.00
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20600.00
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D
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Stock Options (Right to Buy)
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$13.35
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9/1/2017
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9/1/2026
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Common Stock
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3066.00
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3066.00
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D
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Stock Options (Right to Buy)
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$11.97
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9/1/2016
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9/1/2025
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Common Stock
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3247.00
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3247.00
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D
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Stock Options (Right to Buy)
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$9.60
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2/17/2017
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2/17/2026
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Common Stock
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9266.00
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9266.00
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D
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Explanation of Responses:
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(1)
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Restricted share units convert into Common Stock on a one-to-one basis.
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(2)
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Performance Share Units granted as a performance award, vesting based upon degree of achievement of performance goal. At the end of the performance period, 50% of award is paid in common shares free of restrictions, and 50% is paid in cash. If the final amount is less than 100% of the share units, the balance is forfeited to the company.
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(3)
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Represent phantom shares awarded under the Company's Supplemental Defined Contribution Plan for Executive Employees.
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(4)
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33+% per year for 3 years beginning on 21-Feb-2019
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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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Schlater Benjamin
6060 PARKLAND BLVD
SUITE 250
MAYFIELD HEIGHTS, OH 44124
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Chief Financial Officer
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Signatures
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/s/ Richard Shuttie, Treasurer, by Power of Attorney
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9/5/2018
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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 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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