UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock option | 02/07/2003 | 09/05/2011 | Common Stock | 56,758 | $ 1.78 | D | Â |
Stock option | 02/07/2003 | 02/21/2010 | Common Stock | 37,311 | $ 1.84 | D | Â |
Stock option | Â (1) | 02/08/2013 | Common Stock | 214,018 | $ 5.35 | D | Â |
Stock option | Â (2) | 02/08/2013 | Common Stock | 161,452 | $ 5.35 | D | Â |
Stock option | 09/30/2007(3) | 02/08/2013 | Common Stock | 75,094 | $ 5.35 | D | Â |
Stock option | 02/08/2006 | 02/08/2013 | Common Stock | 300,376 | $ 5.35 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Roessler Ken C/O BWAY HOLDING COMPANY 8607 ROBERTS DRIVE, SUITE 250 ATLANTA, GA 30350 |
 |  |  President and CEO |  |
Kevin Kern Attorney-in-fact | 06/12/2007 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Following the closing of the Company's initial public offering, options will vest as follows: 1/3 of the options vest if, during any consecutive 45-day period, the average closing price per share of the Company's common stock (or, the "average closing price") is at least $19.26 and the closing price per share of the Company's common stock on the last day of such 45-day period (or, the "last day closing price") is at least $16.37; the next 1/3 of the options vest if, during any consecutive 45-day period, the average closing price is at least $21.52 and the last day closing price is at least $18.29; and the other 1/3 of the options vest if, during any consecutive 45-day period, the average closing price is at least. $23.78 and the last day closing price is at least $20.21. |
(2) | On May 23, 2007, the Company's board of directors amended the plan to provide that these options will become exercisable upon the completion of the Company's initial public offering. |
(3) | The options are performance options that vest upon the occurrence of certain performance criteria. On May 23, 2007, the Company's board of directors amended the plan to provide that these options will become exercisable upon the completion of the Company's initial public offering. |