Statement of Changes in Beneficial Ownership (4)
April 01 2021 - 9:24AM
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
MCCONNELL JOHN P/OH |
2. Issuer Name and Ticker or Trading Symbol
WORTHINGTON INDUSTRIES INC
[
WOR
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Executive Chairman |
(Last)
(First)
(Middle)
WORTHINGTON INDUSTRIES, INC., 200 OLD WILSON BRIDGE ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/30/2021 |
(Street)
COLUMBUS, OH 43085
(City)
(State)
(Zip)
|
4. 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
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Shares | 3/30/2021 | | M | | 726 | A | $23.10 | 1356244 | D | |
Common Shares | 3/30/2021 | | S | | 726 | D | $67.60 (1) | 1355518 | D | |
Common Shares | 3/30/2021 | | M | | 65964 | A | $20.47 | 1421482 | D | |
Common Shares | 3/30/2021 | | S | | 65964 | D | $67.60 (1) | 1355518 | D | |
Common Shares | 3/31/2021 | | M | | 14036 | A | $20.47 | 1369554 | D | |
Common Shares | 3/31/2021 | | S | | 14036 | D | $67.09 (1) | 1355518 | D | |
Common Shares | | | | | | | | 12415982 | I | By JMAC, Inc. |
Common Shares | | | | | | | | 2428312 | I | By the Porter Rardin Trust f/b/o John P. McConnell and Margaret Kollis |
Common Shares | | | | | | | | 8173 | I | As custodian for his son, C.R.McConnell |
Common Shares | | | | | | | | 7343 | I | By Spouse, Amy McConnell, as custodian for her son, Luke A. Edmonds |
Common Shares | | | | | | | | 118000 | I | By The McConnell Family Trust |
Common Shares | | | | | | | | 255875 | I | By The Margaret R. McConnell Trust f/b/o Margaret Kollis |
Common Shares | | | | | | | | 25227 (2) | I | By the Worthington Industries, Inc. Deferred Profit Sharing Plan |
Common Shares | | | | | | | | 44250 | I | By McConnell 2020 LAE Trust (3) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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 |
Non-qualified stock option (right to buy) | $23.10 | 3/30/2021 | | M | | | 726 | 6/30/2012 (4) | 6/30/2021 | Common Shares | 726 | $0.00 | 0 | D | |
Non-qualified stock option (right to buy) | $20.47 | 3/30/2021 | | M | | | 65964 | 6/29/2013 (5) | 6/29/2022 | Common Shares | 65964 | $0.00 | 14036 | D | |
Non-qualified stock option (right to buy) | $20.47 | 3/31/2021 | | M | | | 14036 | 6/29/2013 (5) | 6/29/2022 | Common Shares | 14036 | $0.00 | 0 | D | |
Explanation of Responses: |
(1) | The price reported is a weighted average price. The reporting person undertakes to provide to Worthington Industries, Inc. (the "Issuer"), any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of common shares sold at each separate price within the ranges set forth. |
(2) | Amount listed is the most up-to-date information available regarding holdings in the Company Stock Fund under the Worthington Industries, Inc. Deferred Profit Sharing Plan and is based on a Plan statement as of 2/28/2021. |
(3) | These common shares are held in an irrevocable trust for the benefit of the son of the reporting person's spouse. The reporting person's spouse is the trustee of such irrevocable trust. |
(4) | This non-qualified stock option was granted pursuant to the Worthington Industries, Inc. 2010 Stock Option Plan. Date listed is the first day any portion of the option vested. Additional portions of 33.33% of the option vested annually on 6/30/2013 and 6/30/2014. |
(5) | This non-qualified stock option was granted pursuant to the Worthington Industries, Inc. 2010 Stock Option Plan. Date listed is the first day any portion of the option vested. Additional portions of 33.33% of the option vested annually on 6/29/2014 and 6/29/2015. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
MCCONNELL JOHN P/OH WORTHINGTON INDUSTRIES, INC. 200 OLD WILSON BRIDGE ROAD COLUMBUS, OH 43085 | X | X | Executive Chairman |
|
Signatures
|
/S/ John P. McConnell by Dale T. Brinkman, as attorney-in-fact | | 4/1/2021 |
**Signature of Reporting Person | Date |
Worthington Enterprises (NYSE:WOR)
Historical Stock Chart
From Jun 2024 to Jul 2024
Worthington Enterprises (NYSE:WOR)
Historical Stock Chart
From Jul 2023 to Jul 2024