SEC Form 4
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*
STREETER STEPHANIE A

(Last) (First) (Middle)
300 MADISON AVENUE

(Street)
TOLEDO OH 43604

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
LIBBEY INC [ LBY ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Executive Officer
3. Date of Earliest Transaction (Month/Day/Year)
11/10/2015
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form 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)
Code V Amount (A) or (D) Price
Common Stock 11/10/2015 P 2,500 A $25.35 141,644 D
Restricted Stock Units 25,985 D
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 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
Common Shares $23.02 02/24/2015 (1) 02/24/2024 Common Stock 39,515 39,515 D
Restricted Stock Units (2) (2) (2) Common Stock 115,687 115,687 D
Share Appreciation Right $21.29 12/31/2018 (3) 12/16/2023 Common Stock 240,829 240,829 D
NQ - Stock Option (Right to Buy) $38.06 02/17/2016 03/02/2025 Common Stock 35,094 35,094 D
Non-Qualified Stock Option (right to buy) $13.95 02/17/2013 (1) 02/17/2022 Common Stock 24,419 24,419 D
Non-Qualified Stock Option (right to buy) $19.02 02/22/2014 (1) 02/22/2023 Common Stock 44,154 44,154 D
NQ - Stock Option (Right to Buy) $38.06 02/17/2016 (4) 03/02/2025 Common Stock 35,094 35,094 D
Non-Qualified Stock Option (right to buy) $15.47 06/30/2012 (5) 07/29/2021 Common Stock 30,382 30,382 D
Explanation of Responses:
1. The options become exercisable for 25% of the shares on each of the first, second, third, and fourth anniversary dates.
2. Each retention restricted stock unit ("Retention RSU") vests on December 31, 2018. When vested, each Retention RSU will entitle Ms. Streeter to a payment in cash equal to the amount of the closing price of a share of Libbey Inc. common stock on the vesting date.
3. Each retention share appreciation right ("Retention SAR") vests on December 31, 2018 and expires on December 16, 2023. When exercised, each Retention SAR will entitle Ms. Streeter to a payment in cash equal to the amount, if any, by which the closing price of a share of Libbey Inc. common stock on the date of exercise exceeds $21.29.
4. The options become exercisable for 25% of the shares on February 17th of each of 2016, 2017, 2018 and 2019 provided the grantee remains continuously employed by the Company as of those respective dates.
5. The options become exercisable for 25% of the shares on June 30, 2012, June 30, 2013, June 30, 2014 and June 30, 2015.
Remarks:
By: Debbie Hyndman, Attorney-in-Fact For: Stephanie A. Streeter 11/10/2015
** 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).
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