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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee stock options (right to buy) (1) | $ 25.52 | 02/21/2017 | M | 48,000 | 05/27/2012 | 05/27/2020 | Common stock | 48,000 | $ 0 | 0 | D | ||||
Employee stock options (right to buy) (2) | $ 25.52 | 02/21/2017 | M | 7,569 | 05/27/2012(3) | 05/27/2020 | Common stock | 7,569 | $ 0 | 4,372 | D | ||||
Employee stock options (right to buy) (4) | $ 46.75 | 02/21/2017 | M | 13,000 | 03/15/2014 | 03/15/2021 | Common stock | 13,000 | $ 0 | 0 | D | ||||
Stock Options (5) | $ 45 | 02/21/2017 | M | 17,700 | 03/09/2015 | 03/09/2022 | Common stock | 17,700 | $ 0 | 0 | D | ||||
Stock Options (6) | $ 38.74 | 02/21/2017 | M | 21,900 | 05/09/2016 | 05/09/2023 | Common stock | 21,900 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Stephenson Keith Dwayne 39550 ORCHARD HILL PLACE NOVI, MI 48375 |
Executive VP and COO |
/s/ Kristan L. Miller, on behalf of Keith D. Stephenson under Power of Attorney | 02/22/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | These restricted stock options were granted to the reporting person on May 27, 2010, under the 2010 Cooper-Standard Holdings Inc. Management Incentive Plan. |
(2) | These restricted stock options in respect of warrants were granted to the reporting person on May 27, 2010, under the 2010 Cooper-Standard Holdings Inc. Management Incentive Plan. |
(3) | Assuming continued employment, one-fourth of the restricted options in respect of warrants shall vest (i) on each of the first four (4) anniversary dates of the date of grant and (ii) upon the exercise of certain outstanding warrants that have been issued in respect of the Company's common stock. The number of options that will vest under clause (ii) will be based on a formula that is tied to the percentage of warrants that are exercised. |
(4) | These employee stock options were granted to the reporting person on March 15, 2011, under the Cooper-Standard Holdings Inc. 2011 Omnibus Incentive Plan ("2011 Omnibus Incentive Plan"). |
(5) | These restricted stock options (right to buy) were granted to the reporting person on March 9, 2012, under the 2011 Omnibus Incentive Plan. |
(6) | These restricted stock options (right to buy) were granted to the reporting person on February 15, 2013, under the 2011 Omnibus Incentive Plan. |