Statement of Changes in Beneficial Ownership (4)
May 19 2016 - 4:49PM
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).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Shaffer David M
|
2. Issuer Name
and
Ticker or Trading Symbol
EnerSys
[
ENS
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
President & CEO
|
(Last)
(First)
(Middle)
2366 BERNVILLE ROAD
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/16/2016
|
(Street)
READING, PA 19605
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock
(1)
|
5/16/2016
(2)
|
|
A
|
|
24021
|
A
|
$0.00
|
97068.0115
(3)
|
D
|
|
Common Stock
(4)
|
5/16/2016
(2)
|
|
A
|
|
14757
|
A
|
$0.00
|
111825.0115
|
D
|
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. 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
|
7. Title and Amount of Securities Underlying Derivative Security
(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)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Stock Options
|
$57.60
|
5/16/2016
(2)
|
|
A
|
|
53934
|
|
(5)
|
5/16/2026
|
Common Stock
|
53934
|
$0.00
|
53934
|
D
|
|
Explanation of Responses:
|
(
1)
|
These shares were granted as performance share units and vest one hundred percent on May 16, 2019, with an additional one year holding period (4 years total until settlement), subject to acceleration and cancellation upon the occurrence of certain events. Each performance share unit converts into the number of shares of common stock determined by applying the TSR multiplier to the number of units vesting on the third anniversary of the date of grant. The TSR multiplier is based on relative TSR performance versus peers over the three year vesting period. The peer group is the S&P Small Cap 600 Industrial Index, of which EnerSys is a member, and consists of 99 companies. The minimum TSR multiplier is 0% and the maximum TSR multiplier is 200%. These shares represent the performance share units granted, assuming a TSR multiplier of 100%.
|
(
2)
|
This grant was made after markets had closed.
|
(
3)
|
This amount has been adjusted by 109.7914 shares to reflect market share units received in connection with the cash dividend paid on March 25, 2016 to stockholders of record as of March 11, 2016, with respect to 10,380 unvested MSUs granted to the reporting person on May 31, 2013, 7,789 unvested MSUs granted to the reporting person on May 12, 2014, and 16,517 unvested MSUS granted to the reporting person on May 31, 2013, and adjusted for previously declared and paid cash dividends. These MSUs will vest and are payable concurrent with the underlying MSUs.
|
(
4)
|
These shares were granted as restricted stock units that vest twenty-five percent on each of May 16, 2017, May 16, 2018, May 16, 2019, and May 16, 2020, subject to acceleration or forfeiture in certain specified circumstances.
|
(
5)
|
The options vest in three equal annual installments beginning on May 16, 2017, subject to acceleration or forfeiture in certain specified circumstances.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Shaffer David M
2366 BERNVILLE ROAD
READING, PA 19605
|
X
|
|
President & CEO
|
|
Signatures
|
Karen J. Yodis, by Power of Attorney
|
|
5/19/2016
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
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).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
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.
|
Enersys (NYSE:ENS)
Historical Stock Chart
From Aug 2024 to Sep 2024
Enersys (NYSE:ENS)
Historical Stock Chart
From Sep 2023 to Sep 2024