Statement of Changes in Beneficial Ownership (4)
June 28 2016 - 4:18PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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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1. Name and Address of Reporting Person
*
LEHMAN JOHN F
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2. Issuer Name
and
Ticker or Trading Symbol
EnerSys
[
ENS
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
450 PARK AVENUE, 6TH FLOOR
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3. Date of Earliest Transaction
(MM/DD/YYYY)
6/24/2016
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(Street)
NEW YORK, NY 10022
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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6/24/2016
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A
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44.1813
(1)
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A
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$0.00
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51932.1323
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D
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Common Stock
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6/24/2016
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A
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88.7961
(2)
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A
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$0.00
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52020.9284
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D
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Common Stock
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6/24/2016
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A
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0.0448
(3)
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A
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$0.00
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52020.9732
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D
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Common Stock
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6/24/2016
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A
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0.0983
(4)
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A
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$0.00
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52021.0715
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D
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Common Stock
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6/24/2016
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A
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0.1752
(5)
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A
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$0.00
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52021.2467
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D
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Common Stock
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6/24/2016
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A
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0.225
(6)
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A
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$0.00
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52021.4717
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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These shares were granted in the form of Deferred Stock Units ("DSUs"), in connection with the cash dividend paid on June 24, 2016 to stockholders of record as of June 10, 2016 (the "Dividend"), with respect to an aggregate of 14,564 vested DSUs granted to the reporting person on various dates, and adjusted for previously declared and paid cash dividends. These DSUs are vested and payable concurrent with the underlying DSUs.
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(
2)
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These shares were granted in the form of Restricted Stock Units ("RSUs"), in connection with the Dividend, with respect to an aggregate of 29,997.8558 vested RSUs granted to the reporting person on various dates under the EnerSys Deferred Compensation Plan for Non-Employee Directors (the "Plan"), and adjusted for previously declared and paid cash dividends. These RSUs are vested and payable concurrent with the underlying RSUs.
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(
3)
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These shares were granted in the form of RSUs, in connection with the Dividend, with respect to 15.1444 unvested RSUs granted to the reporting person on July 14, 2015, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.
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(
4)
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These shares were granted in the form of RSUs, in connection with the Dividend, with respect to 33.2052 unvested RSUs granted to the reporting person on October 6, 2015, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.
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(
5)
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These shares were granted in the form of RSUs, in connection with the Dividend, with respect to 59.1857 unvested RSUs granted to the reporting person on January 12, 2016, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.
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(
6)
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These shares were granted in the form of RSUs, in connection with the Dividend, with respect to 76 unvested RSUs granted to the reporting person on April 12, 2016, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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LEHMAN JOHN F
450 PARK AVENUE
6TH FLOOR
NEW YORK, NY 10022
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X
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Signatures
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Karen J. Yodis, by Power of Attorney
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6/28/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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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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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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