Statement of Changes in Beneficial Ownership (4)
June 01 2017 - 7:08AM
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
*
Minarro Salvador
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2. Issuer Name
and
Ticker or Trading Symbol
LIBBEY INC
[
LBY
]
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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)
VP, General Mgr US & Canada
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(Last)
(First)
(Middle)
300 MADISON AVENUE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
5/31/2017
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(Street)
TOLEDO, OH 43604
(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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5/31/2017
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P
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10000
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A
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$8.426
(1)
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10000
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D
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Restricted Stock Units
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39392
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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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NQ - Stock Option (Right to Buy)
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$17.0
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2/10/2012
(2)
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2/10/2021
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Common Shares
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7000.0
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7000
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D
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NQ - Stock Option (Right to Buy)
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$23.02
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2/24/2015
(2)
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2/24/2024
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Common Shares
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6582.0
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6582
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D
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NQ - Stock Option (Right to Buy)
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$13.96
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8/1/2013
(2)
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8/1/2022
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Common Shares
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3597.0
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3597
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D
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NQ - Stock Option (Right to Buy)
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$15.47
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12/31/2013
(3)
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12/31/2020
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Common Shares
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20000.0
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20000
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D
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NQ - Stock Option (Right to Buy)
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$10.13
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2/11/2011
(2)
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2/11/2020
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Common Shares
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6000.0
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6000
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D
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NQ - Stock Option (Right to Buy)
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$13.6
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2/17/2018
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3/1/2027
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Common Stock
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15329.0
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15329
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D
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NQ - Stock Option (Right to Buy)
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$17.13
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2/17/2017
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2/25/2026
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Common Shares
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21486.0
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21486
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D
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NQ - Stock Option (Right to Buy)
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$15.35
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2/15/2009
(2)
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2/15/2018
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Common Shares
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3200.0
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3200
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D
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NQ - Stock Option (Right to Buy)
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$19.02
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2/22/2014
(2)
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2/22/2023
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Common Shares
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7918.0
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7918
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D
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NQ - Stock Option (Right to Buy)
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$13.95
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2/17/2013
(2)
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2/17/2022
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Common Shares
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7500.0
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7500
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D
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NQ - Stock Option (Right to Buy)
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$38.06
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2/17/2016
(4)
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3/2/2025
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Common Shares
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6340.0
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6340
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D
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NQ - Stock Option (Right to Buy)
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$1.01
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2/27/2010
(2)
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2/27/2019
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Common Shares
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7000.0
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7000
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D
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Explanation of Responses:
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(1)
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This transaction was executed in multiple transactions at per share prices ranging from $8.28 to $8.50. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
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(2)
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The options become exercisable for 25% of the shares on each of the first, second, third, and fourth anniversary dates.
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(3)
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Stock option vests 100% on 12/31/2013.
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(4)
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The options become exercisable for 25% of the shares on February 17th of each of 2016, 2017, 2018 and 2019 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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Minarro Salvador
300 MADISON AVENUE
TOLEDO, OH 43604
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VP, General Mgr US & Canada
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Signatures
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Debbie Hyndman, Attorney-in-Fact for Salvador Minarro
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6/1/2017
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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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