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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 | ||||||||
Restricted Stock Units | (4) | 02/22/2019 | M | 292 | (1) | (1) | Common Stock | 292 | $ 0 | 3,217 | D | ||||
Employee Stock Options (rights to buy) | $ 78.115 | 02/25/2019 | A | 6,881 | (5) | 02/25/2029 | Common Stock | 6,881 | $ 0 | 6,881 | D | ||||
Restricted Stock Units | (4) | 02/25/2019 | A | 1,600 | (6) | (6) | Common Stock | 1,600 | $ 0 | 4,817 | D | ||||
Restricted Stock Units | (4) | 02/25/2019 | M | 274 | (3) | (3) | Common Stock | 274 | $ 0 | 4,543 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Dockman William C. C/O W. R. GRACE & CO. 7500 GRACE DRIVE COLUMBIA, MD 21044 |
VP and Controller |
/s/ Sean E. Dempsey, Attorney-in-Fact | 02/26/2019 | |
**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) | On February 23, 2017, the reporting person was granted 875 stock units, vesting annually in three substantially equal installments beginning on February 23, 2018, 292 of these stock units vested and settled on February 22, 2019. |
(2) | Restricted stock units converted into Common Stock on a one-for-one basis. |
(3) | On February 25, 2016, the reporting person was granted 822 stock units, vesting annually in three substantially equal installments beginning on February 24, 2017, 274 of these stock units vested and settled on February 25, 2019. |
(4) | Each Restricted Stock Unit represents a contingent right to receive one share of Common Stock or at the Issuer's election, the cash value thereof. |
(5) | Options become exercisable in three substantially equal annual installments beginning on February 25, 2020. |
(6) | Restricted Stock Units vest in three substantially equal annual installments beginning on February 25, 2020 and will be settled within 60 days of those vesting dates. |