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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, Section 17(a) of the Public Utility Holding Company Act of 1935 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 | ||||||||
Deferred Stock Units | (2) | 02/22/2013 | A | 18,500 | 02/22/2014 | 02/22/2014 | Common Stock | 18,500 | $ 0 | 18,500 | D | ||||
Deferred Stock Units | (1) (2) | 02/25/2013 | M | 12,000 | 02/24/2013 | 02/24/2013 | Common Stock | 12,000 | (1) | 0 | D | ||||
Stock Options (Right to Buy) | $ 21.26 | 02/29/2004 | 02/28/2013 | Common Stock | 7,000 | 7,000 | D | ||||||||
Stock Options (Right to Buy) | $ 26.26 | 02/09/2005 | 02/09/2014 | Common Stock | 7,000 | 7,000 | D | ||||||||
Stock Options (Right to Buy) | $ 19.39 | 02/07/2006 | 02/07/2015 | Common Stock | 7,000 | 7,000 | D | ||||||||
Stock Options (Right to Buy) | $ 20.69 | 02/16/2007 | 02/16/2016 | Common Stock | 7,000 | 7,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LAWRENCE WILLIAM B C/O FERRO CORPORATION 6060 PARKLAND BOULEVARD MAYFIELD HEIGHTS, OH 44124 |
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/s/ John T. Bingle, Treasurer, by Power of Attorney | 02/26/2013 | |
**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) | Vesting of Deferred Stock Units awarded to Non-Employee Directors. At the end of the deferral period of one year, the units are converted into an equal number of shares of Ferro Common Stock. The Directors may defer the payment of the shares by depositing them into their Directors' Deferred Compensation Plan account. |
(2) | Award granted to Non-Employee Directors. At the end of the deferral period of one year, the units are converted into an equal number of shares of Ferro Common Stock. The units do not have the right to vote or receive dividends and are subject to forfeiture if the recipient is no longer serving as a Director at the end of the deferral period except in the case of retirement, disability or death. |