Amended Statement of Changes in Beneficial Ownership (4/a)
March 12 2021 - 5:37PM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
Forsythe Patrick John |
2. Issuer Name and Ticker or Trading Symbol
GENERAC HOLDINGS INC.
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GNRC
]
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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 Technical Officer |
(Last)
(First)
(Middle)
S45 W29290 HWY.59, C/O GENERAC HOLDINGS INC. |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/1/2021 |
(Street)
WAUKESHA, WI 53189
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
3/3/2021 |
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 | 3/1/2021 | | A | | 4298 | A | $0 | 24253 (1) | D | |
Common Stock | 3/1/2021 | | A | | 729 (2) | A | $0 | 24982 | D | |
Common Stock | 3/1/2021 | | F | | 1250 | D | $335.91 | 23732 (3) | 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. 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 |
Stock Option (Right to Buy) | $335.91 | 3/1/2021 | | A | | 1998 | | (4) | 3/1/2031 | Common Stock | 1998 | $0 | 1998 | D | |
Explanation of Responses: |
(1) | The number of shares acquired and the reporting person's balance have been adjusted to properly reflect the number of shares granted in the transaction previously reported on March 3, 2021. |
(2) | Subject to continued service through the vesting date, the Restricted Shares shall all vest in equal installments on each of the first three (3) anniversaries of the Date of Grant. |
(3) | The number of shares disposed and the reporting person's balance have been adjusted to properly reflect the number of shares withheld as part of the tax withholdings previously reported on March 3, 2021. |
(4) | Subject to continued service through the vesting date, the Options shall all vest in equal installments on each of the first four (4) anniversaries of the Date of Grant. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Forsythe Patrick John S45 W29290 HWY.59 C/O GENERAC HOLDINGS INC. WAUKESHA, WI 53189 |
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| Chief Technical Officer |
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Signatures
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/s/ Raj Kanuru, as Attorney in Fact | | 3/12/2021 |
**Signature of Reporting Person | Date |
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