Initial Statement of Beneficial Ownership (3)
December 06 2019 - 4:02PM
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
*
JAFFEE JENNIFER M |
2. Date of Event Requiring Statement (MM/DD/YYYY)
12/1/2019
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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 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) SVP, GC & Secretary / |
(Street)
TOLEDO, OH 43604
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 1659.62 | D | |
Restricted Stock Units | 7983 (1)(2)(3)(4) | D | |
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) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
NQ - Stock Option (Right to Buy) | 2/22/2014 (5) | 2/22/2023 | Common Stock | 1500.0 | $19.02 | D | |
NQ - Stock Option (Right to Buy) | 2/24/2015 (6) | 2/24/2024 | Common Stock | 1300.0 | $23.02 | D | |
Explanation of Responses: |
(1) | Includes 225 restricted stock units remaining in the February 25, 2016 RSU grant that vest on February 17, 2020 provided the grantee remains continuously employed by the Company as of that date. |
(2) | Includes 774 restricted stock units remaining in the March 1, 2017 RSU grant that vest in equal annual installments on February 17, 2020 and February 17, 2021 provided the grantee remains continuously employed by the Company as of those respective dates. |
(3) | Includes 2,616 restricted stock units remaining in the February 28, 2018 RSU grant that vest in equal annual installments on February 17th of each of 2020, 2021 and 2022 provided the grantee remains continuously employed by the Company as of those respective dates. |
(4) | Includes 4,368 restricted stock units remaining in the February 22, 2019 RSU grant that vest in equal annual installments on February 17th of each of 2020, 2021, 2022 and 2023 provided the grantee remains continuously employed by the Company as of those respective dates. |
(5) | The options become exercisable for 25% of the shares on each of the first, second, third and fourth anniversary dates. |
(6) | 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. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
JAFFEE JENNIFER M 300 MADISON AVENUE TOLEDO, OH 43604 |
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| SVP, GC & Secretary |
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Signatures
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Debbie Hyndman, Attorney-in-Fact for Jennifer M. Jaffee | | 12/6/2019 |
**Signature of Reporting Person | Date |
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