Statement of Changes in Beneficial Ownership (4)
2019年5月29日 - 8:33AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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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1. Name and Address of Reporting Person
*
Bitto George G
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2. Issuer Name
and
Ticker or Trading Symbol
Versum Materials, Inc.
[
VSM
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
EVP and CFO
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(Last)
(First)
(Middle)
VERSUM MATERIALS, INC., 8555 SOUTH RIVER PARKWAY
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3. Date of Earliest Transaction
(MM/DD/YYYY)
5/28/2019
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(Street)
TEMPE, AZ 85284
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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5/28/2019
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A
(1)
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75.054
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A
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$0
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101277.452
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Market Share Units
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(2)
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5/28/2019
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A
(2)
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16.324
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(2)
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(2)
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Common Stock
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16.324
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$0
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10590.267
(3)
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D
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Market Share Units
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(4)
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5/28/2019
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A
(4)
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13.094
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(4)
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(4)
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Common Stock
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13.094
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$0
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8494.927
(3)
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D
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Explanation of Responses:
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(1)
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Represents dividend equivalent rights that accrued with respect to restricted stock unit awards previously reported under Table 1, which were granted pursuant to the Versum Materials, Inc. Long-Term Incentive Plan and the terms of the applicable award agreement, and will vest with the restricted stock units to which they relate.
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(2)
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Represents dividend equivalent rights that accrued with respect to market share unit awards previously reported on Table II, which were granted pursuant to the Versum Materials, Inc. Long-Term Incentive Plan and the terms of the applicable award agreement, and will vest with the market share units to which they relate. Each market share unit represents the right to receive, at settlement, the number of shares of common stock of Versum Materials, Inc. ("Common Stock") determined by applying a multiplier to the target number of shares which may vest based upon the performance of the Common Stock during the period of October 1, 2016 through September 30, 2019. The number of shares of Common Stock that would be received upon vesting of the market share units, if any, may vary from 0 to 150 percent of the target number shown.
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(3)
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The number of market share units reported represents the target number awarded on the grant date along with all accrued dividend equivalent rights.
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(4)
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Represents dividend equivalent rights that accrued with respect to market share unit awards previously reported on Table II, which were granted pursuant to the Versum Materials, Inc. Long-Term Incentive Plan and the terms of the applicable award agreement, and will vest with the market share units to which they relate. Each market share unit represents the right to receive, at settlement, the number of shares of Common Stock determined by applying a multiplier to the target number of shares which may vest based upon the performance of the Common Stock during the period of October 1, 2017 through September 30, 2020. The number of shares of Common Stock that would be received upon vesting of the market share units, if any, may vary from 0 to 150 percent of the target number shown.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Bitto George G
VERSUM MATERIALS, INC.
8555 SOUTH RIVER PARKWAY
TEMPE, AZ 85284
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EVP and CFO
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Signatures
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/s/ Scott J. Depta, as attorney-in-fact
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5/28/2019
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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