Statement of Changes in Beneficial Ownership (4)
June 29 2021 - 4:36PM
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
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3235-0287
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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
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O'Connell Shawn M. |
2. Issuer Name and Ticker or Trading Symbol
EnerSys
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ENS
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Pres. Motive Power Global |
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(Last)
(First)
(Middle)
C/O ENERSYS, 2366 BERNVILLE ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/25/2021 |
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(Street)
READING, PA 19605
(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 | 6/25/2021 | | A | | 1.1032 (1) | A | $0.00 | 28690.1855 (2) | D | |
| Common Stock | 6/25/2021 | | A | | 0.9611 (3) | A | $0.00 | 28691.1466 | D | |
| Common Stock | 6/25/2021 | | A | | 1.2113 (4) | A | $0.00 | 28692.3579 | D | |
| Common Stock | 6/25/2021 | | A | | 4.875 (5) | A | $0.00 | 28697.2328 | D | |
| Common Stock | 6/25/2021 | | A | | 6.0501 (6) | A | $0.00 | 28703.2829 | D | |
| Common Stock | 6/25/2021 | | A | | 7.4073 (7) | A | $0.00 | 28710.6902 | D | |
| Common Stock | 6/25/2021 | | A | | 11.078 (8) | A | $0.00 | 28721.7682 | D | |
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) | 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 |
| Explanation of Responses: |
| (1) | These shares were granted in the form of Restricted Stock Units ("RSUs"), in connection with the cash dividend paid on June 25, 2021, to stockholders of record as of June 11, 2021 (the "Dividend"), with respect to 1,164 unvested RSUs granted to the reporting person on August 13, 2018, and adjusted for previously declared and paid cash dividends. These RSUs will vest and are payable concurrent with the underlying RSUs. |
| (2) | Adjusted to correct a prior arithmetic error. |
| (3) | These shares were granted in the form of Performance Share Units ("PSUs"), in connection with the Dividend, with respect to 507 PSUs granted to the reporting person on August 13, 2018, and adjusted for previously declared and paid cash dividends. These PSUs will vest and are payable concurrent with the underlying PSUs. |
| (4) | These shares were granted in the form of PSUs, in connection with the Dividend, with respect to 639 PSUs granted to the reporting person on August 13, 2018, and adjusted for previously declared and paid cash dividends. These PSUs will vest and are payable concurrent with the underlying PSUs. |
| (5) | These shares were granted in the form of RSUs, in connection with the Dividend, with respect to 2,597 RSUs granted to the reporting person on August 12, 2019, and adjusted for previously declared and paid cash dividends. These RSUs will vest and are payable concurrent with the underlying RSUs. |
| (6) | These shares were granted in the form of PSUs, in connection with the Dividend, with respect to 3,223 PSUs granted to the reporting person on August 12, 2019, and adjusted for previously declared and paid cash dividends. These PSUs will vest and are payable concurrent with the underlying PSUs. |
| (7) | These shares were granted in the form of PSUs, in connection with the Dividend, with respect to 3,946 PSUs granted to the reporting person on August 12, 2019, and adjusted for previously declared and paid cash dividends. These PSUs will vest and are payable concurrent with the underlying PSUs. |
| (8) | These shares were granted in the form of RSUs, in connection with the Dividend, with respect to 5,969 unvested RSUs granted to the reporting person on August 17, 2020, and adjusted for previously declared and paid cash dividends. These RSUs will vest and are payable concurrent with the underlying RSUs. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
O'Connell Shawn M.
C/O ENERSYS
2366 BERNVILLE ROAD
READING, PA 19605 |
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| Pres. Motive Power Global |
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Signatures
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| Karen J. Yodis, by Power of Attorney | | 6/29/2021 |
| **Signature of Reporting Person | Date |
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