0001562180-18-000112.txt : 20180103 0001562180-18-000112.hdr.sgml : 20180103 20180103163654 ACCESSION NUMBER: 0001562180-18-000112 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171229 FILED AS OF DATE: 20180103 DATE AS OF CHANGE: 20180103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Thomas Peter T CENTRAL INDEX KEY: 0001358620 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00584 FILM NUMBER: 18505886 MAIL ADDRESS: STREET 1: 1000 LAKESIDE AVENUE CITY: CLEVELAND STATE: OH ZIP: 44114 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: FERRO CORP CENTRAL INDEX KEY: 0000035214 STANDARD INDUSTRIAL CLASSIFICATION: PAINTS, VARNISHES, LACQUERS, ENAMELS & ALLIED PRODUCTS [2851] IRS NUMBER: 340217820 STATE OF INCORPORATION: OH FISCAL YEAR END: 1216 BUSINESS ADDRESS: STREET 1: 6060 PARKLAND BLVD CITY: MAYFIELD HEIGHTS STATE: OH ZIP: 44124 BUSINESS PHONE: 216-875-5458 MAIL ADDRESS: STREET 1: 6060 PARKLAND BLVD CITY: MAYFIELD HEIGHTS STATE: OH ZIP: 44124 4 1 primarydocument.xml PRIMARY DOCUMENT X0306 4 2017-12-29 false 0000035214 FERRO CORP FOE 0001358620 Thomas Peter T C/O FERRO CORPORATION 6060 PARKLAND BOULEVARD MAYFIELD HEIGHTS OH 44124 true true false false Chairman, President and CEO Common Stock 2017-12-29 4 M false 100000.00 0.00 A 451976.00 D Common Stock 2017-12-29 4 F false 46450.00 23.56 D 405526.00 D Common Stock 2018-01-02 4 M false 20033.00 1.37 A 425559.00 D Common Stock 2018-01-02 4 S false 73583.00 23.5088 D 351976.00 D Common Stock 1172.797 I Investment Savings Plan Restricted Stock Units 0.00 2017-12-29 4 M false 100000.00 0.00 D 2017-12-29 2017-12-29 Common Stock 100000.00 0.00 D Stock Options (Right to Buy) 1.37 2018-01-02 4 M false 20033.00 0.00 D 2010-02-25 2019-02-25 Common Stock 20033.00 0.00 D Performance Share Unit 0.00 2017-12-31 Common Stock 124200.00 124200.00 D Performance Share Unit 0.00 2018-12-31 Common Stock 158200.00 158200.00 D Performance Share Unit 0.00 2019-12-31 Common Stock 103500.00 103500.00 D Phantom Shares Common Stock 107605.7895 107605.7895 D Restricted Share Unit 0.00 2016-02-23 2016-02-23 Common Stock 32800.00 32800.00 D Restricted Share Unit 0.00 2016-04-24 2016-04-24 Common Stock 17480.00 17480.00 D Restricted Share Unit 0.00 2017-02-20 2017-02-20 Common Stock 46100.00 46100.00 D Restricted Share Unit 0.00 2018-02-18 2018-02-18 Common Stock 49700.00 49700.00 D Restricted Share Unit 0.00 2019-02-17 2019-02-17 Common Stock 63300.00 63300.00 D Restricted Share Unit 0.00 2020-02-15 2020-02-15 Common Stock 41400.00 41400.00 D Stock Options (Right to Buy) 15.16 2012-02-24 2021-02-24 Common Stock 38000.00 38000.00 D Stock Options (Right to Buy) 14.27 2018-02-15 2027-02-15 Common Stock 123300.00 123300.00 D Stock Options (Right to Buy) 13.09 2015-02-20 2024-02-20 Common Stock 95300.00 95300.00 D Stock Options (Right to Buy) 12.33 2016-02-18 2025-02-18 Common Stock 107300.00 107300.00 D Stock Options (Right to Buy) 9.60 2017-02-17 2026-02-17 Common Stock 185700.00 185700.00 D Stock Options (Right to Buy) 8.25 2011-02-25 2020-02-25 Common Stock 45000.00 45000.00 D Stock Options (Right to Buy) 7.02 2014-04-24 2023-04-24 Common Stock 98800.00 98800.00 D Stock Options (Right to Buy) 6.84 2013-02-23 2022-02-23 Common Stock 45500.00 45500.00 D Stock Options (Right to Buy) 5.29 2014-02-21 2023-02-21 Common Stock 68800.00 68800.00 D The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by Mr. Thomas. Price reported constitutes the average weighted price of shares sold. Shares were sold at varying prices in the range of $23.5003-$23.645. The reporting person hereby undertakes, upon request of the Commission, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price. Restricted Stock Units converted to shares of Common Stock on a one-for-one basis upon vesting. 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. Represent phantom shares awarded under the Company's Supplemental Defined Contribution Plan for Executive Employees. 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. /s/ Richard Shuttie, Treasurer, by Power of Attorney 2018-01-03