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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 | (4) | 06/27/2014 | A | 21.678 (5) | (4) | (4) | Common Stock | 21.678 | $ 25.27 | 3,064.837 (6) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SIVERD ROBERT J 4 TESSENEER DRIVE HIGHLAND HEIGHTS, KY 41076 |
Exec. VP & General Counsel |
/s/ Diana C. Toman as Attorney-in-Fact for Robert J. Siverd | 07/01/2014 | |
**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) | Reflects the current direct holdings of the reporting person. |
(2) | Reflects the current indirect holdings of the reporting person. A portion of these shares are held in the General Cable Retirement Savings Plan as share equivalents and are valued at the market close price on 6/27/2014. |
(3) | This amount excludes 3,043.159 shares which were previously reported on Table I as indirect holdings by GCC Trusts and are now reported on Table II as shares of phantom stock. |
(4) | Each share of phantom stock is the economic equivalent of one share of General Cable common stock. Shares of phantom stock are payable in cash following the reporting person's separation from employment with the issuer. The reporting person may transfer his phantom stock account into an alternate investment account at any time. |
(5) | These shares of phantom stock were acquired pursuant to a dividend reinvestment feature of the issuer's Deferred Compensation Plan. |
(6) | This amount includes 3,043.159 shares which were previously reported on Table I as indirect holdings by GCC Trusts and are now reported on Table II as shares of phantom stock. |
Remarks: The filing of this Statement shall not be construed as an admission (a) that the person filing this Statement is, for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, the beneficial owner of any equity securities covered by this Statement, or (b) that this Statement is legally required to be filed by such person. |