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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 | ||||||||
| Phantom Stock | (2) | (3) | (4) | common shares | 35 | 3,185 (5) | D | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| ANDERSON KERRII B 200 OLD WILSON BRIDGE ROAD COLUMBUS, OH 43085 |
X | |||
| /s/Dale T. Brinkman, as attorney-in-fact for Kerrii B. Anderson | 01/08/2016 | |
| **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) | Upon review of Ms. Anderson's account with her broker, it was found that an oversight occurred when an acquisition of 67 common shares were purchased on January 30, 2015 but not reported until now. Ms. Anderson did not dispose of any Company common shares within six months of this purchase. |
| (2) | The accounts track common shares on a one-for-one basis |
| (3) | Prior to October 1, 2014, the account balance related to the theoretical Company common shares deemed investment option could be immediately transferred to other deemed investment options under the terms of the Worthington Industries, Inc. Amended and Restated 2005 Deferred Compensation Plan for Directors (the "2005 Plan"). |
| (4) | The Company amended the 2005 Plan effective October 1, 2014. The amendment includes a provision that, effective October 1, 2014 and thereafter, any amount credited in a participant's account to the phantom stock fund (i.e., the theoretical Company common shares deemed investment option) may not be transferred to an alternative deemed investment option under the 2005 Plan until distribution from the Plan. Distributions are made only in common shares of the Company and generally commence upon a participant's leaving the Company's Board of Directors. |
| (5) | The amount reported reflects 35 additional unfunded theoretical common shares (i.e., phantom stock) credited to the reporting person's account pursuant to the dividend reinvestment feature of the 2005 Plan since September 24, 2015. |