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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 | ||||||||
Employee stock option | $ 32.4594 | 01/20/1999 | 01/20/2009 | Modine common stock | 3,073 | 3,073 (2) | D | ||||||||
Employee stock option | $ 24.4056 | 01/19/2000 | 01/19/2010 | Modine common stock | 3,073 | 3,073 (3) | D | ||||||||
Employee stock option | $ 22.6972 | 01/17/2001 | 01/17/2011 | Modine common stock | 3,073 | 3,073 (4) | D | ||||||||
Employee stock option | $ 22.2384 | 01/16/2002 | 01/16/2012 | Modine common stock | 8,195 | 8,195 (5) | D | ||||||||
Employee stock option | $ 18.0894 | 01/06/2003 | 01/06/2013 | Modine common stock | 4,589 | 4,589 (6) | D | ||||||||
Employee stock option | $ 28.4764 | 01/20/2004 | 01/20/2014 | Modine common stock | 4,589 | 4,589 (6) | D | ||||||||
Employee stock option | $ 28.4764 | 01/20/2004 | 01/20/2014 | Modine common stock | 4,589 | 4,589 (7) | D | ||||||||
Employee stock option | $ 30.8194 | 01/18/2005 | 01/18/2015 | Modine common stock | 3,974 | 3,974 (8) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SPIEWAK DAVE B |
Corporate Treasurer |
/s/D.R. Zakos, Attorney-in-Fact for D. B. Spiewak | 12/01/2005 | |
**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) | This total includes 1,377.8192 units of Modine common stock indirectly held in the Registrant's Modine 401(k) Retirement Plan account and 336.2705 units of Modine common stock indirectly held in the Registrant's Modine Deferred Compensation Plan account. |
(2) | This option was previously reported as an option for 3,000 shares of common stock at an exercise price of $33.25 per share, but was adjusted to reflect the stock dividend declared by Modine on July 21, 2005 in connection with the spin off and merger of Modine's Aftermarket Business in a reverse Morris Trust transaction. As a result of the stock dividend, stock options granted by Modine were adjusted to retain their intrinsic value. |
(3) | This option was previously reported as an option for 3,000 shares of common stock at an exercise price of $25.00 per share. See footnote 2 for further explanation. |
(4) | This option was previously reported as an option for 3,000 shares of common stock at an exercise price of $23.25 per share. See footnote 2 for further explanation. |
(5) | This option was previously reported as an option for 8,000 shares of common stock at an exercise price of $22.78 per share. See footnote 2 for further explanation. |
(6) | This option was previously reported as an option for 4,480 shares of common stock at an exercise price of $18.53. See footnote 2 for further explanation. |
(7) | This option was previously reported as an option for 4,480 shares of common stock at an exercise price of $29.17 per share. See footnote 2 for further explanation. |
(8) | This option was previously reported as an option for 3,880 shares of common stock at an exercise price of $31.57 per share. See footnote 2 for further explanation. |