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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 Stock Units | (1) | 05/22/2018 | A(1) | 258 | (1) | (1) | Common Stock | 258 | (1) | 2,620 | D | ||||
Performance Stock Units | (1) | 05/22/2018 | M(1) | 2,620 | (1) | (1) | Common Stock | 2,620 | (1) | 0 | D | ||||
Stock Option (right to buy) | $ 8.888 | (3) | 07/29/2020 | Common Stock | 8,325 | 8,325 | D | ||||||||
Stock Option (right to buy) | $ 22.03 | (3) | 05/11/2022 | Common Stock | 45,000 | 45,000 | D | ||||||||
Stock Option (right to buy) | $ 19 | (3) | 05/23/2023 | Common Stock | 25,000 | 25,000 | D | ||||||||
Stock Option (right to buy) | $ 29.31 | 09/03/2015(4) | 09/03/2024 | Common Stock | 17,490 | 17,490 | D | ||||||||
Stock Option (right to buy) | $ 25.77 | (3) | 05/22/2025 | Common Stock | 21,255 | 21,255 | D | ||||||||
Stock Option (right to buy) | $ 19.7 | 05/20/2017(5) | 05/20/2026 | Common Stock | 38,222 | 38,222 | D | ||||||||
Stock Option (right to buy) | $ 23.13 | 05/19/2018(5) | 05/19/2027 | Common Stock | 25,618 | 25,618 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Whaley Patricia M 4701 W. GREENFIELD AVE MILWAUKEE, WI 53214 |
Vice Pres.-General Counsel |
/s/ Jeffrey J. LaValle under Power of Attorney for Patricia M. Whaley | 05/24/2018 | |
**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) | Based on Rexnord Corporation's performance during the three-year performance period (fiscal 2016-fiscal 2018), the performance stock units ("PSUs") vested at the level indicated above (the Reporting Person had the opportunity to earn up to 200% of the number originally reported, as previously disclosed). |
(2) | Shares were withheld to satisfy tax withholding obligations in connection with the vesting of PSUs. |
(3) | Option fully vested. |
(4) | The original option vests in four annual installments beginning on the date listed above. |
(5) | The original option vests in three annual installments beginning on the date listed above. |