Filing Details
- Accession Number:
- 0001209191-13-003001
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-01-14 16:15:30
- Reporting Period:
- 2013-01-10
- Filing Date:
- 2013-01-14
- Accepted Time:
- 2013-01-14 16:15:30
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 110621 | Rpm International Inc | RPM | Paints, Varnishes, Lacquers, Enamels & Allied Prods (2851) | 020642224 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1224027 | A Ronald Rice | 2628 Pearl Road P.o. Box 777 Medina OH 44258 | President And Coo | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.01 Par Value | Acquisiton | 2013-01-10 | 30,000 | $17.63 | 365,688 | No | 4 | M | Direct | |
| Common Stock, $0.01 Par Value | Acquisiton | 2013-01-10 | 30,000 | $17.65 | 395,688 | No | 4 | M | Direct | |
| Common Stock, $0.01 Par Value | Acquisiton | 2013-01-10 | 30,000 | $18.80 | 425,688 | No | 4 | M | Direct | |
| Common Stock, $0.01 Par Value | Acquisiton | 2013-01-10 | 17,500 | $14.05 | 443,188 | No | 4 | M | Direct | |
| Common Stock, $0.01 Par Value | Acquisiton | 2013-01-10 | 50,000 | $18.96 | 493,188 | No | 4 | M | Direct | |
| Common Stock, $0.01 Par Value | Disposition | 2013-01-10 | 92,548 | $30.86 | 400,640 | No | 4 | D | Direct | |
| Common Stock, $0.01 Par Value | Disposition | 2013-01-10 | 63,000 | $30.46 | 337,670 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | D | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2013-01-10 | 30,000 | $0.00 | 30,000 | $17.63 |
| Common Stock | Stock Appreciation Rights | Disposition | 2013-01-10 | 30,000 | $0.00 | 30,000 | $17.65 |
| Common Stock | Stock Appreciation Rights | Disposition | 2013-01-10 | 30,000 | $0.00 | 30,000 | $18.80 |
| Common Stock | Stock Appreciation Rights | Disposition | 2013-01-10 | 17,500 | $0.00 | 17,500 | $14.05 |
| Common Stock | Stock Appreciation Rights | Disposition | 2013-01-10 | 50,000 | $0.00 | 50,000 | $18.96 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2014-10-29 | No | 4 | M | Direct | |
| 487,500 | 2015-10-05 | No | 4 | M | Direct | |
| 457,500 | 2016-10-05 | No | 4 | M | Direct | |
| 440,000 | 2012-10-10 | 2018-10-10 | No | 4 | M | Direct |
| 390,000 | 2019-10-08 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock, $0.01 Par Value | 4,389 | Indirect | By 401(k) Plan |
Footnotes
- Price reported constitutes the average weighted price of shares sold. Shares were sold at varying prices in the range of $30.40 - $30.61. The reporting person hereby undertakes, upon request by the Commission staff, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price.
- Includes an aggregate of 14,786 shares of Common Stock issued pursuant to the 1997 RPM International Inc. Restricted Stock Plan, as amended, 77,480 shares of Common Stock issued pursuant to the 2007 RPM International Inc. Restricted Stock Plan, 120,000 shares of Common Stock, issued as Performance Earned Restricted Stock, pursuant to the RPM International Inc. 2004 Omnibus Equity Incentive Plan, and 120,000 shares of Common Stock, issued as Performance Contingent Restricted Stock, pursuant to the RPM International Inc. 2004 Omnibus Equity and Incentive Plan.
- Approximate number of shares held as of January 10, 2013 in the account of reporting person by Wachovia Bank, N.A., as Trustee of the RPM International Inc. 401(k) Trust and Plan, as amended.
- The option vested in four equal installments on October 29, 2005, 2006, 2007 and 2008.
- The Stock Appreciation Rights vested on October 5, 2006, 2007, 2008 and 2009.
- The Stock Appreciation Rights vested on October 5, 2007, 2008, 2009 and 2010.
- The Stock Appreciation Rights vested on October 8, 2010 and 2011.
- Stock Appreciation Rights granted pursuant to the RPM International Inc. 2004 Omnibus Equity and Incentive Plan in an exempt transaction under Rule 16b-3. These Stock Appreciation Rights vest in four equal annual installments commencing one year after the date of grant. These Stock Appreciation Rights were granted between 2007 and 2012 and expire 10 years from the date of grant.
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