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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Howard Kelly G 15301 VENTURA BOULEVARD #400 SHERMAN OAKS, CA 91403 |
EVP - General Counsel |
/s/ Kelly G. Howard | 12/15/2016 | |
**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) | Shares were issued pursuant to the Amended and Restated Real Industry, Inc. 2015 Equity Award Plan in accordance with the terms of that certain Employment Agreement by and between Ms. Howard and Real Industry, Inc., dated as of December 12, 2016, and as approved by the Board of Directors on December 14, 2016 as recommended by the Compensation Committee of the Board of Directors. The number of shares granted represents two awards of $100,000 each, in each case divided by $5.45, the last sale price of the common stock on December 14, 2016, the grant of grant. |
(2) | Includes 18,349 shares of restricted common stock that will vest in whole on June 14, 2017. |
(3) | Includes 18,349 shares of restricted common stock that will vest in three equal annual installments on the first, second and third anniversaries of the grant date, ending on December 14, 2019. |