Filing Details
- Accession Number:
- 0001209191-15-042319
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-05-13 16:44:24
- Reporting Period:
- 2015-05-11
- Filing Date:
- 2015-05-13
- Accepted Time:
- 2015-05-13 16:44:24
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1616862 | Axalta Coating Systems Ltd. | AXTA | Paints, Varnishes, Lacquers, Enamels & Allied Prods (2851) | 981073028 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1620281 | R. Steven Markevich | Two Commerce Square 2001 Market Street Suite 3600 Philadelphia PA 19103 | Svp & President, Oem | 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 Shares | Acquisiton | 2015-05-11 | 51,582 | $5.92 | 196,114 | No | 4 | M | Direct | |
| Common Shares | Acquisiton | 2015-05-11 | 17,340 | $8.88 | 213,454 | No | 4 | M | Direct | |
| Common Shares | Disposition | 2015-05-11 | 113,216 | $31.99 | 100,238 | No | 4 | S | Direct | |
| Common Shares | Disposition | 2015-05-11 | 48,656 | $32.44 | 51,582 | No | 4 | S | Direct | |
| Common Shares | Acquisiton | 2015-05-12 | 127,089 | $8.88 | 178,671 | No | 4 | M | Direct | |
| Common Shares | Acquisiton | 2015-05-12 | 165,062 | $11.84 | 343,733 | No | 4 | M | Direct | |
| Common Shares | Disposition | 2015-05-12 | 292,151 | $32.60 | 51,582 | No | 4 | S | Direct | |
| Common Shares | Acquisiton | 2015-05-12 | 123,076 | $0.00 | 174,658 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2015-05-12 | 16,923 | $0.00 | 191,581 | No | 4 | A | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | A | Direct | |
| No | 4 | A | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Shares | Employee Stock Option | Disposition | 2015-05-11 | 51,582 | $0.00 | 51,582 | $5.92 |
| Common Shares | Employee Stock Option | Disposition | 2015-05-11 | 17,340 | $0.00 | 17,340 | $8.88 |
| Common Shares | Employee Stock Option | Disposition | 2015-05-12 | 127,089 | $0.00 | 127,089 | $8.88 |
| Common Shares | Employee Stock Option | Disposition | 2015-05-12 | 165,062 | $0.00 | 165,062 | $11.84 |
| Common Shares | Employee Stock Option | Acquisiton | 2015-05-12 | 65,734 | $0.00 | 65,734 | $32.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 154,746 | 2023-07-30 | No | 4 | M | Direct | |
| 343,731 | 2023-07-30 | No | 4 | M | Direct | |
| 216,642 | 2023-07-30 | No | 4 | M | Direct | |
| 247,592 | 2023-07-30 | No | 4 | M | Direct | |
| 65,734 | 2025-05-11 | No | 4 | A | Direct |
Footnotes
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan duly adopted by the reporting person.
- The price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $31.19 to $ 32.18. The reporting person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $32.19 to $ 32.75. The reporting person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $32.13 to $ 33.07. The reporting person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- This restricted stock grant vests in two equal annual installments beginning on the second anniversary of the grant date.
- This restricted stock grant vests in three equal annual installments beginning on the first anniversary of the grant date.
- This option vested in five equal annual installments beginning on January 1, 2014. On April 8, 2015, this option vested in full in accordance with the terms of the Axalta Coating Systems Bermuda Co., Ltd. 2013 Equity Incentive Plan.
- This option vests in three equal annual installments beginning on the first anniversary of the grant date.
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