UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Non-Qualified Stock Options | Â (1) | 09/04/2018 | Common Stock | 25,000 | $ 37.89 | D | Â |
Non-Qualified Stock Options | Â (1) | 02/18/2020 | Common Stock | 25,000 | $ 25.77 | D | Â |
Non-Qualified Stock Options | Â (2) | 05/06/2021 | Common Stock | 13,500 | $ 25.18 | D | Â |
Non-Qualified Stock Options | Â (2) | 05/03/2022 | Common Stock | 13,500 | $ 17.67 | D | Â |
Non-Qualified Stock Options | Â (2) | 02/02/2023 | Common Stock | 12,500 | $ 17.16 | D | Â |
Non-Qualified Stock Options | Â (2) | 04/29/2024 | Common Stock | 12,500 | $ 20 | D | Â |
Restricted Stock Units | Â (3) | Â (3) | Common Stock | 3,829 | $ (4) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Carothers Robert G 726 BELL AVENUE CARNEGIE, PA 15106 |
 |  |  Chairman & CEO, Union Electric |  |
Rose Hoover, Attorney-In-Fact, POA Attached Hereto | 06/03/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Subject to acceleration in certain circumstances, the option becomes vested and exercisable under the following schedule assuming the optionee continues employment with the Issuer through the date of vesting: 33% on the grant date, 66% on the first anniversary of the grant date, 100% on the second anniversary of the grant date. |
(2) | Subject to acceleration in certain circumstances, the option becomes vested and exercisable under the following schedule assuming the optionee continues employment with the Issuer through the date of vesting: 33% on the first anniversary of the grant date, 66% on the second anniversary of the grant date and 100% on the third anniversary of the grant date. |
(3) | The restricted stock units vest in three equal annual installments beginning May 5, 2016. |
(4) | Each restricted stock unit represents a contingent right to receive one share of Ampco-Pittsburgh Corporation common stock. |