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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 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 | ||||||||
Stock Option (Right to Buy) | $ 5.20 | 04/25/2013 | M | 500 | 05/04/2011(3) | 10/20/2020 | Common Stock | 500 | $ 0 | 36,601 | D | ||||
Stock Option (Right to Buy) | $ 5.20 | 04/26/2013 | M | 500 | 05/04/2011(3) | 10/20/2020 | Common Stock | 500 | $ 0 | 36,101 | D | ||||
Stock Option (Right to Buy) | $ 9.82 | 05/04/2011(3) | 03/01/2011 | Common Stock | 23,744 | 23,744 | D | ||||||||
Stock Option (Right to Buy) | $ 12 | (4) | 05/04/2021 | Common Stock | 5,000 | 5,000 | D | ||||||||
Performance Units | $ 0 | (5) | (5) | Common Stock | 8,132 (5) | 8,132 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
PETERSON JAY 100 THERMON DRIVE SAN MARCOS, TX 78666 |
CFO |
/s/ Jay Peterson by Sarah Alexander as attorney in fact | 04/30/2013 | |
**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) | Transactions pursuant to a Rule 10b5-1 Plan. |
(2) | On August 2, 2012, the reporting person was granted 8,132 restricted stock units which vest in equal annual installments on each of the first, second and third anniversaries of the grant date. |
(3) | Options vested and became fully exercisable in connection with the Issuer's initial public offering. |
(4) | Options vest in five equal annual installments beginning on May 4, 2012. |
(5) | On August 2, 2012, the reporting person was granted a performance unit award of 8,132 shares, which will vest in annual installments on March 31, 2013, March 31, 2014 and March 31, 2015 only upon the Issuer's achievement of predetermined total shareholder return goals. The number of shares reflected on this filing represents the target award. The actual number of shares that may vest depends on the Issuer's actual performance relative to its peer group and ranges form 0% below threshold, 50% at threshold, 100% at target and 200% at maximum performance. |