Filing Details
- Accession Number:
- 0001209191-11-005781
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-01-31 16:33:05
- Reporting Period:
- 2011-01-27
- Filing Date:
- 2011-01-31
- Accepted Time:
- 2011-01-31 16:33:05
- 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 |
|---|---|---|---|---|---|---|---|
| 1224030 | G Paul Hoogenboom | 2628 Pearl Road P.o. Box 777 Medina OH 44258 | Sr. Vp- Mfg & Operations & Cio | 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 | 2011-01-27 | 40,000 | $14.08 | 218,633 | No | 4 | M | Direct | |
| Common Stock, $0.01 Par Value | Acquisiton | 2011-01-27 | 40,000 | $14.10 | 258,633 | No | 4 | M | Direct | |
| Common Stock, $0.01 Par Value | Disposition | 2011-01-27 | 80,000 | $23.56 | 178,633 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | 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 | 2011-01-27 | 40,000 | $0.00 | 40,000 | $14.08 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2011-01-27 | 40,000 | $0.00 | 40,000 | $14.10 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 65,000 | 2012-10-11 | No | 4 | M | Direct | |
| 25,000 | 2013-10-10 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock, $0.01 Par Value | 1,853 | Indirect | By 401(k) Plan |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Phantom Stock | $0.00 | 587 | 587 | Direct | ||
| Common Stock | Stock Appreciation Rights | $0.00 | 160,000 | 160,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 587 | 587 | Direct | |
| 160,000 | 160,000 | Direct |
Footnotes
- Price reported constitutes the average weighted price of shares sold. Shares were sold at varying prices in the range of $23.30 - 23.93. 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 10,177 shares of Common Stock issued pursuant to the 1997 RPM International Inc. Restricted Stock Plan, as amended, 29,641 shares of Common Stock issued pursuant to the 2007 RPM International Inc. Restricted Stock Plan, 40,000 shares of Common Stock, issued as Performance Earned Restricted Stock, pursuant to the RPM International Inc. 2004 Omnibus Equity and Incentive Plan, and 60,000 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 27, 2011 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 11, 2003, 2004, 2005 and 2006.
- The option vested in four equal installment on October 10, 2004, 2005, 2006 and 2007.
- Granted pursuant to the RPM International Inc. 1996 Key Employees Stock Option Plan, as amended, in an exempt transaction under Rule 16b-3. These options vest and become exercisable in 25% increments over four years commencing one year after the date of grant. These options were granted on October 29, 2004 and expire 10 years from the date of grant.
- No transaction is being reported on this line. Reported on a previously filed Form 3, Form 4, or Form 5.
- 1-for-1
- Upon cessation of employment in accordance with the terms and conditions of the RPM International Inc. Deferred Compensation Plan, as amended.
- These phantom stock units represent the stock equivalent value of the restricted stock dividends held in the reporting person's account under the RPM International Inc. Deferred Compensation Plan, as amended, and dividends accrued thereon.
- 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 2005 and 2010 and expire 10 years from the date of grant.
Billionaire Hedge Funds
