Statement of Changes in Beneficial Ownership (4)
April 07 2021 - 9:58AM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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
*
Freesemann Nicole M |
2. Issuer Name and Ticker or Trading Symbol
RAVEN INDUSTRIES INC
[
RAVN
]
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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) Vice President HR |
(Last)
(First)
(Middle)
P.O. BOX 5107 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/5/2021 |
(Street)
SIOUX FALLS, SD 57117-5107
(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 | 4/5/2021 | | A | | 224 (1) | A | $0 | 2839 | D | |
Common Stock | 4/5/2021 | | F | | 53 (2) | D | $0 | 2786 | D | |
Common Stock | 4/5/2021 | | A | | 341 (3) | A | $0 | 3127 | D | |
Common Stock | 4/5/2021 | | F | | 80 (2) | D | $0 | 3047 | D | |
Common Stock | 4/5/2021 | | A | | 446 (4) | A | $0 | 1294 | I | By Spouse |
Common Stock | 4/5/2021 | | F | | 133 (2) | D | $0 | 1161 | I | By Spouse |
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) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Unit - 2018 | (5) | 4/5/2021 | | A | | | 224 | (6) | (6) | Common Stock | 224.0 | $0 | 0 | D | |
Restricted Stock Unit - 2019 | (5) | | | | | | | (7) | (7) | Common Stock | 1615.0 | | 1615 | D | |
Restricted Stock Unit - 2020 | (5) | | | | | | | (8) | (8) | Common Stock | 3421.0 | | 3421 | D | |
Restricted Stock Unit - 2021 | (5) | 4/5/2021 | | A | | 1949 | | (9) | (9) | Common Stock | 1949.0 | $0 | 1949 | D | |
Restricted Stock Unit - 2018 | (5) | 4/5/2021 | | A | | | 446 | (6) | (6) | Common Stock | 446.0 | $0 | 0 | I | By Spouse |
Restricted Stock Unit - 2019 | (5) | | | | | | | (7) | (7) | Common Stock | 256.0 | | 256 | I | By Spouse |
Restricted Stock Unit - 2020 | (5) | | | | | | | (8) | (8) | Common Stock | 507.0 | | 507 | I | By Spouse |
Restricted Stock Unit - 2021 | (5) | 4/5/2021 | | A | | 390 | | (9) | (9) | Common Stock | 390.0 | $0 | 390 | I | By Spouse |
Explanation of Responses: |
(1) | Grant of Time-Based Restricted Stock Units which vested on April 5, 2021 and includes 10 dividend equivalent shares earned on those shares. |
(2) | Shares forfeited to satisfy tax withholding requirements. |
(3) | Grant of 341 Performance-based shares which vested on April 5, 2021 and includes 20 dividend equivalent shares earned on those shares. |
(4) | Grant of Time-Based Restricted Stock Units which vested on April 5, 2021 and includes 18 dividend equivalent shares earned on those shares. |
(5) | Each Time-based Restricted Stock Unit is the economic equivalent of one share of RAVN Common Stock. |
(6) | The Time-based Restricted Stock Units shall become vested on the third anniversary of the effective date April 5, 2018, provided that the Employee remains continuously employed by the Company through the Vesting Date. |
(7) | The Time-based Restricted Stock Units shall become vested on the third anniversary of the effective date April 5, 2019, provided that the Employee remains continuously employed by the Company through the Vesting Date. |
(8) | The Time-based Restricted Stock Units shall become vested on the third anniversary of the effective date April 6, 2020, provided that the Employee remains continuously employed by the Company through the Vesting Date. |
(9) | The Time-based Restricted Stock Units shall become vested on the third anniversary of the effective date April 5, 2021, provided that the Employee remains continuously employed by the Company through the Vesting Date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Freesemann Nicole M P.O. BOX 5107 SIOUX FALLS, SD 57117-5107 |
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| Vice President HR |
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Signatures
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/s/ Nicole M. Freesemann | | 4/7/2021 |
**Signature of Reporting Person | Date |
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