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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 | ||||||||
Performance Shares | (1) | 03/25/2017 | M | 7,736 | (1) | (1) | Common Shares, without par value | 7,736 | $ 0 | 26,674 (2) | D | ||||
Performance Shares | (1) | 03/25/2017 | D | 1,014 | (1) | (1) | Common Shares, without par value | (1) | (1) | 25,660 (2) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hartman Robert J. Jr. C/O STONERIDGE, INC. 39675 MACKENZIE DR. SUITE 400 NOVI, MI 48377 |
Chief Accounting Officer |
/s/ Robert M. Loesch, by power of attorney | 03/28/2017 | |
**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) | On March 25, 2014 the Reporting Person was granted 8,750 vesting on March 25, 2017; 3,500 of the Performance Shares were time-based and vested on March 25, 2017 and were paid on a one-for-one basis in common shares and 5,250 were time-based and performance-based. Of the time and performance based Performance Shares 4,236 vested on March 25, 2017 and were paid on a one-for-one basis in common shares and 1,014 were forfeited. |
(2) | Performance Shares vesting in 2018, 2019 and 2020 payable upon vesting on a one for one basis in common shares. |