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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 | ||||||||
Dividend Equivalent Rights | (4) | 03/07/2014 | (1) | A | 10 | (4) | (4) | Common Stock | 10 | $ 0 | 10 | D | |||
Dividend Equivalent Rights | (4) | 06/06/2014 | (1) | A | 11 | (4) | (4) | Common Stock | 11 | $ 0 | 21 | D | |||
Dividend Equivalent Rights | (4) | 09/05/2014 | (1) | A | 12 | (4) | (4) | Common Stock | 12 | $ 0 | 33 | D | |||
Dividend Equivalent Rights | (4) | 12/05/2014 | (1) | A | 12 | (4) | (4) | Common Stock | 12 | $ 0 | 45 | D | |||
Dividend Equivalent Rights | (3) | 02/14/2015 | (1) | X | 45 | (1) | (1) | Common Stock | 45 | (3) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hix Christopher M FLATS EAST BANK BUILDING 950 MAIN AVENUE, SUITE 1300 CLEVELAND, OH 44113 |
VP and Chief Financial Officer |
/s/ Christopher M. Hix, by Michele Connell as attorney-in-fact | 02/18/2015 | |
**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) | This field is not applicable. |
(2) | This reflects the surrender of shares to OM Group, Inc. to pay taxes applicable to the vesting of restricted stock units in accordance with the applicable long-term incentive plan previously approved by the stockholders of OM Group, Inc. and the related agreement previously approved by the Compensation Committee of the Board of Directors of OM Group, Inc. |
(3) | Settlement of dividend equivalent rights in connection with the vesting of restricted stock units. The rights accrued when and as dividends were paid on OM Group, Inc. Common Stock and vested with the restricted stock units to which they are related. Each dividend equivalent right is the economic equivalent of one share of OM Group Common Stock. |
(4) | The dividend equivalent rights accrued on restricted stock units and vest proportionately with the restricted stock units to which they relate. Each dividend equivalent right is the economic equivalent of one share of OM Group, Inc. Common Stock. |