Initial Statement of Beneficial Ownership (3)
July 19 2019 - 11:16AM
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
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
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Higgin Andrew
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2. Date of Event Requiring Statement (MM/DD/YYYY)
6/28/2019
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3. Issuer Name
and
Ticker or Trading Symbol
OMNOVA SOLUTIONS INC [OMN]
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(Last)
(First)
(Middle)
25435 HARVARD ROAD
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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, Global Sales /
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(Street)
BEACHWOOD, OH 44122
(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)
_
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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Common Shares
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11865
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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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Restricted Share Units
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(1)
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(1)
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Common Shares
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6635
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$0
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D
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Explanation of Responses:
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(1)
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The restricted share units reported in this row were granted to the reporting person on June 21, 2017 (1,500 restricted share units), June 25, 2018 (1,700 restricted share units), and June 25, 2019 (5,000 restricted share units). Each grant of restricted share units is scheduled to vest in approximately equal annual installments until the third year from the date of grant. For the grant issued June 21, 2017, two of the annual installments vested on June 21, 2018 and June 21, 2019 (999 shares in total). For the grant issued June 25, 2018, one installment vested on June 25, 2019 (566 shares). The total amount reported in this row reflects the remaining number of unvested restricted share units.
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Remarks:
This Form 3 is being filed late due to inadvertent administrative error.
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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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Higgin Andrew
25435 HARVARD ROAD
BEACHWOOD, OH 44122
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VP, Global Sales
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Signatures
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/s/ Frank P. Esposito, attorney-in-fact for Andrew Higgin
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7/19/2019
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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 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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