FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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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*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Platform Specialty Products Corp [ PAH ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 02/28/2014 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 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) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock, par value $0.01 per share | 2,000 | D | ||||||||
Common Stock, par value $0.01 per share | 02/28/2014 | C(1) | 11,329 | A | $11 | 11,329 | I | 401(k) Plan |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 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) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Exchange obligation of MacDermid shares (call equivalent) | $11 | 02/28/2014 | C(1) | 11,329(1) | (2) | (2) | Common Stock | 11,329 | $0 | 0 | I | 401(k) Plan | |||
Convertible Shares of Platform Delaware Holdings, Inc. | (3) | (3) | (3) | Common Stock | 283,117 | 283,117 | I | By Tartan Holdings, LLC(3) |
Explanation of Responses: |
1. Transaction exempt pursuant to Rule 16b-6. |
2. Pursuant to an irrevocable election made by the reporting person, the reporting person had the obligation to exchange his beneficial ownership interest in shares of common stock and preferred stock of MacDermid, Incorporated, an indirect subsidiary of the Issuer, held by the MacDermid, Incorporated Profit Sharing and Employee Savings Plan (the "Plan"), for a beneficial ownership interest in the Common Stock of the Issuer upon consummation of the transactions contemplated by an Exchange Agreement between the Issuer and the Plan fiduciaries. |
3. The reporting person holds membership interests in Tartan Holdings, LLC ("Tartan"). Tartan holds 7,468,466 shares of the common stock of Platform Delaware Holdings, Inc., a direct wholly-owned subsidiary of the Issuer ("PDH"). Shares of PDH common stock are convertible, at the option of the holder, into a like number of shares of Common Stock of the Issuer at any time after the earlier of (i) October 31, 2014 or (ii) a change of control of the Issuer. |
/s/ Frank J. Monteiro | 03/04/2014 | |
** Signature of Reporting Person | Date | |
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. | ||
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 Number. |