LIBBEY INC Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 47 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-12-11: Reporting owner Summersgill Carol; Form 4; Security Restricted Stock Units; Transaction F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3.
- 2017-11-01: Reporting owner Nave Steve; Form 4; Security Phantom Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-09-01: Reporting owner Summersgill Carol; Form 4; Security Restricted Stock Units; Transaction F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3.
- 2017-08-23: Reporting owner FOLEY WILLIAM A; Form 4; Security Restricted Stock Units; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-12-11 | Summersgill Carol Officer (Vice President-Human Resources) | 4 | Restricted Stock Units Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −209 12,302 owned after | $6.05 | 2017-12-13 | |
| 2017-11-01 | Nave Steve Director | 4 | Phantom Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,912 4,769 owned after | $7.19 | 2017-11-02 | |
| 2017-09-01 | Summersgill Carol Officer (Vice President-Human Resources) | 4 | Restricted Stock Units Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −125 12,511 owned after | $8.20 | 2017-09-06 | |
| 2017-08-23 holding as of filing | FOLEY WILLIAM A Director, Officer (Chief Executive Officer) | 4 | Restricted Stock Units Non-derivative · Direct | Holding | 98,664 owned after | no price filed | 2017-08-23 | |
| 2017-08-22 | MILLER DEBORAH G Director | 4 | Phantom Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +34 2,363 owned after | $8.10 | 2017-08-23 | |
| 2017-08-22 | MOERDYK CAROL B Director | 4 | Phantom Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +284 19,895 owned after | $8.10 | 2017-08-23 | |
| 2017-08-22 | FOLEY WILLIAM A Director, Officer (Chief Executive Officer) | 4 | Phantom Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +182 12,698 owned after | $8.10 | 2017-08-23 | |
| 2017-08-01 | Nave Steve Director | 4 | Phantom Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,607 2,816 owned after | $8.63 | 2017-10-25 | |
| 2017-06-14 holding as of filing | FOLEY WILLIAM A Director, Officer (Chief Executive Officer) | 4 | Restricted Stock Units Non-derivative · Direct | Holding | 98,664 owned after | no price filed | 2017-06-14 | |
| 2017-06-14 | FOLEY WILLIAM A Director, Officer (Chief Executive Officer) | 4 | Phantom Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +169 12,517 owned after | $8.60 | 2017-06-14 | |
| 2017-06-14 | MOERDYK CAROL B Director | 4 | Phantom Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +264 19,611 owned after | $8.60 | 2017-06-14 | |
| 2017-06-14 | MILLER DEBORAH G Director | 4 | Phantom Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +31 2,329 owned after | $8.60 | 2017-06-14 | |
| 2017-06-01 holding as of filing | Minarro Salvador Officer (VP, General Mgr US & Canada) | 4 | Restricted Stock Units Non-derivative · Direct | Holding | 39,392 owned after | no price filed | 2017-06-01 | |
| 2017-05-19 holding as of filing | MOERDYK CAROL B Director | 4 | Phantom Stock Units Derivative · Direct | Holding | 19,347 owned after | no price filed | 2017-05-19 | |
| 2017-05-19 holding as of filing | MILLER DEBORAH G Director | 4 | Phantom Stock Units Derivative · Direct | Holding | 2,298 owned after | no price filed | 2017-05-19 | |
| 2017-05-19 holding as of filing | FOLEY WILLIAM A Director, Officer (Chief Executive Officer) | 4 | Restricted Stock Units Non-derivative · Direct | Holding | 98,664 owned after | no price filed | 2017-05-19 | |
| 2017-05-19 holding as of filing | FOLEY WILLIAM A Director, Officer (Chief Executive Officer) | 4 | Phantom Stock Units Derivative · Direct | Holding | 12,348 owned after | no price filed | 2017-05-19 | |
| 2017-05-18 | Summersgill Carol Officer (Vice President-Human Resources) | 4 | Restricted Stock Units Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −186 12,636 owned after | $8.08 | 2017-05-22 | |
| 2017-05-17 | Nave Steve Director | 4 | Phantom Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,192 1,192 owned after | $8.12 | 2017-10-25 | |
| 2017-05-17 holding as of filing | Burmeister James Charles Officer (VP, Chief Financial Officer) | 4 | Restricted Stock Units Non-derivative · Direct | Holding | 9,344 owned after | no price filed | 2017-05-17 | |
| 2017-05-12 holding as of filing | Burmeister James Charles Officer (VP, Chief Financial Officer) | 4 | Restricted Stock Units Non-derivative · Direct | Holding | 9,344 owned after | no price filed | 2017-05-12 | |
| 2017-05-03 | Burmeister James Charles Officer (VP, Chief Financial Officer) | 4/A | Restricted Stock Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,344 9,344 owned after | $9.38 | 2018-03-19 | |
| 2017-05-03 | Burmeister James Charles Officer (VP, Chief Financial Officer) | 4 | Restricted Stock Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,344 9,344 owned after | $9.38 | 2017-05-04 | |
| 2017-03-14 holding as of filing | FOLEY WILLIAM A Director, Officer (Chief Executive Officer) | 4 | Restricted Stock Units Non-derivative · Direct | Holding | 98,664 owned after | no price filed | 2017-03-14 | |
| 2017-03-14 | FOLEY WILLIAM A Director, Officer (Chief Executive Officer) | 4 | Phantom Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +107 12,348 owned after | $13.39 | 2017-03-14 | |
| 2017-03-14 | MILLER DEBORAH G Director | 4 | Phantom Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20 2,298 owned after | $13.39 | 2017-03-14 | |
| 2017-03-14 | MOERDYK CAROL B Director | 4 | Phantom Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +168 19,347 owned after | $13.39 | 2017-03-14 | |
| 2017-03-13 holding as of filing | FOLEY WILLIAM A Director, Officer (Chief Executive Officer) | 4 | Restricted Stock Units Non-derivative · Direct | Holding | 98,664 owned after | no price filed | 2017-03-13 | |
| 2017-03-13 holding as of filing | FOLEY WILLIAM A Director, Officer (Chief Executive Officer) | 4 | Phantom Stock Units Derivative · Direct | Holding | 12,241 owned after | no price filed | 2017-03-13 | |
| 2017-03-03 holding as of filing | FOLEY WILLIAM A Director, Officer (Chief Executive Officer) | 4 | Phantom Stock Units Derivative · Direct | Holding | 12,241 owned after | no price filed | 2017-03-03 | |
| 2017-03-01 | FOLEY WILLIAM A Director, Officer (Chief Executive Officer) | 4 | Restricted Stock Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +43,779 98,664 owned after | $13.60 | 2017-03-03 | |
| 2017-03-01 | KOVACH SUSAN A Officer (VP,General Counsel & Secretary) | 4 | Restricted Stock Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,768 15,561 owned after | $13.60 | 2017-03-03 | |
| 2017-03-01 | Minarro Salvador Officer (VP, General Mgr US & Canada) | 4 | Restricted Stock Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,579 39,392 owned after | $13.60 | 2017-03-03 | |
| 2017-03-01 | Smith Veronica L Officer (Interim CFO) | 4 | Restricted Stock Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,347 10,619 owned after | $13.60 | 2017-03-03 | |
| 2017-03-01 | Summersgill Carol Officer (Vice President-Human Resources) | 4 | Restricted Stock Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,245 12,822 owned after | $13.60 | 2017-03-03 | |
| 2017-02-28 holding as of filing | KOVACH SUSAN A Officer (VP,General Counsel & Secretary) | 4 | Restricted Stock Units Non-derivative · Direct | Holding | 9,793 owned after | no price filed | 2017-02-28 | |
| 2017-02-24 | Minarro Salvador Officer (VP, General Mgr US & Canada) | 4 | Restricted Stock Units Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −478 31,813 owned after | $16.25 | 2017-02-28 | |
| 2017-02-24 holding as of filing | KOVACH SUSAN A Officer (VP,General Counsel & Secretary) | 4 | Restricted Stock Units Non-derivative · Direct | Holding | 9,793 owned after | no price filed | 2017-02-24 | |
| 2017-02-22 | Minarro Salvador Officer (VP, General Mgr US & Canada) | 4 | Restricted Stock Units Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −562 32,291 owned after | $17.25 | 2017-02-24 | |
| 2017-02-21 holding as of filing | FOLEY WILLIAM A Director, Officer (Chief Executive Officer) | 4 | Phantom Stock Units Derivative · Direct | Holding | 12,241 owned after | no price filed | 2017-02-21 | |
| 2017-02-17 | FOLEY WILLIAM A Director, Officer (Chief Executive Officer) | 4 | Restricted Stock Units Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −4,970 54,885 owned after | $17.77 | 2017-02-21 | |
| 2017-02-17 | Cerioli Annunciata Officer (VP, Chief Supply Chain Officer) | 4 | Restricted Stock Units Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −1,489 15,938 owned after | $17.77 | 2017-02-21 | |
| 2017-02-17 | Smith Veronica L Officer (Interim CFO) | 4 | Restricted Stock Units Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −594 7,272 owned after | $17.77 | 2017-02-21 | |
| 2017-02-17 | Minarro Salvador Officer (VP, General Mgr US & Canada) | 4 | Restricted Stock Units Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −2,451 32,853 owned after | $17.77 | 2017-02-21 | |
| 2017-02-17 | Summersgill Carol Officer (Vice President-Human Resources) | 4 | Restricted Stock Units Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −294 8,577 owned after | $17.77 | 2017-02-21 | |
| 2017-02-17 | KOVACH SUSAN A Officer (VP,General Counsel & Secretary) | 4 | Restricted Stock Units Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −1,074 9,793 owned after | $17.77 | 2017-02-21 | |
| 2017-01-09 holding as of filing | Smith Veronica L Officer (Interim CFO) | 3 | Restricted Stock Units Non-derivative · Direct · (m) | Holding | 7,866 owned after | no price filed | 2017-01-09 |