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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Christenson Carl R C/O ALTRA INDUSTRIAL MOTION CORP. 300 GRANITE STREET SUITE 201 BRAINTREE, MA 02184 |
X | Chairman and CEO |
Todd Patriacca, Attorney-In-Fact | 10/18/2018 | |
**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) | Shares transferred by Reporting Person to former spouse pursuant to a divorce settlement. |
(2) | The shares are held in a trust for which Mr. Christenson serves as trustee. |
(3) | Represents performance shares (and related accrued dividend equivalents) that were converted on October 16, 2018 into restricted common stock, par value $0.001 ("Restricted Common Stock"), upon the Compensation Committee's determination that certain performance goals had been met. The recent transaction between the Company and Fortive Corporation, which closed on October 1, 2018, constituted a "change in control" with respect to the performance shares resulting in the conversion of such performance shares into Restricted Common Stock based on the level of achievement of performance goals that measured the Company's total shareholder return ("TSR") against the TSR of a peer group of companies over the period from January 1, 2016 to September 30, 2018. The Restricted Common Stock is subject to forfeiture until February 15, 2019. |
(4) | Represents performance shares (and related accrued dividend equivalents) that were converted on October 16, 2018 into restricted common stock, par value $0.001 ("Restricted Common Stock"), upon the Compensation Committee's determination that certain performance goals had been met. The recent transaction between the Company and Fortive Corporation, which closed on October 1, 2018, constituted a "change in control" with respect to the performance shares resulting in the conversion of such performance shares into Restricted Common Stock based on the level of achievement of performance goals that measured the Company's total shareholder return ("TSR") against the TSR of a peer group of companies over the period from January 1, 2017 to September 30, 2018. The Restricted Common Stock is subject to forfeiture until February 23, 2020. |
(5) | Represents performance shares (and related accrued dividend equivalents) that were converted on October 16, 2018 into restricted common stock, par value $0.001 ("Restricted Common Stock"), upon the Compensation Committee's determination that certain performance goals had been met. The recent transaction between the Company and Fortive Corporation, which closed on October 1, 2018, constituted a "change in control" with respect to the performance shares resulting in the conversion of such performance shares into Restricted Common Stock based on the level of achievement of performance goals that measured the Company's return on invested capital over the period from January 1, 2018 to September 30, 2018. The Restricted Common Stock is subject to forfeiture until February 15, 2021. |