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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
REINHOLD LAWRENCE P C/O SYSTEMAX INC. 11 HARBOR PARK DRIVE PORT WASHINGTON, NY 11050 |
President & CEO |
/s/ Lawrence Reinhold by April Gruder, Attorney-in-Fact | 10/02/2017 | |
**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 transaction was executed in multiple trades at prices ranging from $27.00 to $27.08. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
(2) | The amount of securities beneficially owned following the first reported transaction on Table I includes the February 1, 2016 grant of 50,000 Restricted Stock Units (33,333 remain unvested), the November 14, 2011 grant of 100,000 Restricted Stock Units (50,000 remain unvested), the August 25, 2010 grant of 175,000 Restricted Stock Units (52,500 remain unvested) and 101,781 shares of common stock. |
(3) | This transaction was executed in multiple trades at prices ranging from $27.09 to $28.09. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected |
(4) | The amount of securities beneficially owned following the second reported transaction on Table I includes the February 1, 2016 grant of 50,000 Restricted Stock Units (33,333 remain unvested), the November 14, 2011 grant of 100,000 Restricted Stock Units (50,000 remain unvested), the August 25, 2010 grant of 175,000 Restricted Stock Units (52,500 remain unvested) and 68,624 shares of common stock. |
(5) | This transaction was executed in multiple trades at prices ranging from $25.51 to $26.51. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
(6) | The amount of securities beneficially owned following the first reported transaction on Table I includes the February 1, 2016 grant of 50,000 Restricted Stock Units (33,333 remain unvested), the November 14, 2011 grant of 100,000 Restricted Stock Units (50,000 remain unvested), the August 25, 2010 grant of 175,000 Restricted Stock Units (52,500 remain unvested) and 26,951 shares of common stock. |
(7) | This transaction was executed in multiple trades at prices ranging from $26.53 to $27.24. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected |
(8) | The amount of securities beneficially owned following the second reported transaction on Table I includes the February 1, 2016 grant of 50,000 Restricted Stock Units (33,333 remain unvested), the November 14, 2011 grant of 100,000 Restricted Stock Units (50,000 remain unvested), the August 25, 2010 grant of 175,000 Restricted Stock Units (52,500 remain unvested) and 22,151 shares of common stock. |
Remarks: The transactions reported on this Form 4 were executed pursuant to a Rule 10b5-1 trading arrangement dated August 28, 2017. |