Ferro (FOE)

Filed: 19 Feb 16, 12:00am
SEC Form 4
Washington, D.C. 20549


Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Duesenberg Mark Hugo



2. Issuer Name and Ticker or Trading Symbol
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director10% Owner
XOfficer (give title below)Other (specify below)
General Counsel
3. Date of Earliest Transaction (Month/Day/Year)
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8)4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock63,835D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)2. Conversion or Exercise Price of Derivative Security3. 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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Options (Right to Buy)$9.602/17/2016A32,50002/17/201702/17/2026Common Stock32,500$032,500D
Restricted Share Unit$002/17/2016A11,10002/17/2019(1)02/17/2026Common Stock11,100$011,100D
Performance Share Unit$002/17/2016A27,700(2)12/31/2018Common Stock27,700$027,700D
Performance Share Unit$0(2)12/31/2016Common Stock20,10020,100D
Performance Share Unit$0(2)12/31/2015Common Stock68,30068,300D
Performance Share Unit$0(2)12/31/2017Common Stock21,70021,700D
Phantom Shares(3)(3)(3)Common Stock25,229.124325,229.1243D
Restricted Share Unit$002/20/201702/20/2017Common Stock8,1008,100D
Restricted Share Unit$002/23/201502/23/2015Common Stock16,80016,800D
Restricted Share Unit$002/23/201602/23/2016Common Stock27,30027,300D
Restricted Share Unit$002/18/201802/18/2018Common Stock8,7008,700D
Stock Options (Right to Buy)$21.2809/17/200909/17/2018Common Stock25,00025,000D
Stock Options (Right to Buy)$8.2502/25/201102/25/2020Common Stock35,00035,000D
Stock Options (Right to Buy)$1.3702/25/201002/25/2019Common Stock35,00035,000D
Stock Options (Right to Buy)$15.1602/24/201202/24/2021Common Stock32,30032,300D
Stock Options (Right to Buy)$6.8402/23/201302/23/2022Common Stock36,10036,100D
Stock Options (Right to Buy)$5.2902/21/201402/21/2023Common Stock57,30057,300D
Stock Options (Right to Buy)$13.0902/20/201502/20/2024Common Stock16,70016,700D
Stock Options (Right to Buy)$12.3302/18/201602/18/2025Common Stock18,80018,800D
Explanation of Responses:
1. The date reflected above as the Date Exercisable is the scheduled vesting date of the Restricted Share Units. Once vested, settlement of the Restricted Share Units and delivery of common shares is subject to an additional two-year holding period.
2. Performance Share Units granted as a performance award, vesting based upon degree of acheivement of performance goal. At the end of the performance period, 50% of award is paid in common shares free of restrictions, and 50% is paid in cash. If the final amount is less than 100% of the share units, the balance is forfeited to the company.
3. Represent phantom shares awarded under the Company's Supplemental Defined Contribution Plan for Executive Employees.
/s/ John T. Bingle, Treasurer, by Power of Attorney02/19/2016
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: 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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