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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 | ||||||||
Restricted Stock Units | $ 0 | 03/31/2016 | M | 2,507 | 03/31/2015(3) | 03/31/2016(3) | Common Stock | 2,507.00 | $ 0 | 0 | D | ||||
Performance Units | $ 0 | 03/31/2014(4) | 03/31/2016(4) | Common Stock | 4,563.00 (4) | 4,563 (4) | D | ||||||||
Restricted Stock Units | $ 0 | 08/01/2014(5) | 08/01/2016(5) | Common Stock | 4,563.00 | 4,563 | D | ||||||||
Performance Units | $ 0 | 03/31/2017(6) | 03/31/2017(6) | Common Stock | 9,567.00 (6) | 9,567 (6) | D | ||||||||
Stock Option (Right to Buy) | $ 12.00 | 05/04/2012(7) | 05/04/2021 | Common Stock | 6,000.00 | 6,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BINGHAM RODNEY L 100 THERMON DRIVE SAN MARCOS, TX 78666 |
X | President & CEO |
/s/ Rodney Bingham by Sarah Alexander as attorney in fact | 04/27/2016 | |
**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) | Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of vested restricted stock units in shares of common stock. |
(2) | Shares withheld by Issuer to satisfy applicable withholding tax upon vesting of restricted stock units. |
(3) | On July 31, 2014, the reporting person was granted a restricted stock unit award vesting in equal annual installments on March 31, 2015 and 2016. |
(4) | On August 1, 2013, the reporting person was granted a performance unit award vesting in equal annual installments on March 31, 2014, 2015 and 2016. The actual number of shares earned in settlement of the award depends on the achievement of certain predetermined performance goals and ranges from 0% below target to 200% at maximum. The number of shares reflected on this filing represents the remaining unvested performance units at the target performance level. |
(5) | On August 1, 2013, the reporting person was granted a restricted stock unit award vesting in equal annual installments on the first, second and third anniversaries of the award. |
(6) | On July 31, 2014, the reporting person was granted a performance unit award vesting on March 31, 2017. The actual number of shares earned in settlement of the award depends on the achievement of certain predetermined performance goals and ranges from 0% below targe to 200% at maximum. The number of shares reflected on this filing represents the remaining unvested performance units at the target performance level. |
(7) | On May 4, 2011, the reporting person was granted a stock option award vesting in equal annual installments on the first, second, third, fourth and fifth anniversaries of the award. |