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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 | ||||||||
Stock Options (Right to buy) | $ 14.61 | 07/16/2008 | M | 6,845 | (1) | 11/01/2011 | Common Stock, par value $0.01 per share | 6,845 | $ 0 | 403,861 | D | ||||
Stock Options (Right to buy) | $ 14.61 | 07/16/2008 | M | 6,845 | (2) | 09/24/2014 | Common Stock, par value $0.01 per share | 6,845 | $ 0 | 207,064 | D | ||||
Stock Options (Right to buy) | $ 14.61 | 07/16/2008 | M | 4,107 | (3) | 09/24/2014 | Common Stock, par value $0.01 per share | 4,107 | $ 0 | 303,923 | D | ||||
Stock Options (Right to buy) | $ 31.73 | 07/16/2008 | M | 1,890 | (4) | 05/16/2014 | Common Stock, par value $0.01 per share | 1,890 | $ 0 | 122,178 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Ghasemi Seifi C/O ROCKWOOD HOLDINGS, INC. 100 OVERLOOK CENTER PRINCETON, NJ 08540 |
X | Chairman & CEO |
/s/ Seifi Ghasemi | 07/18/2008 | |
**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) | These options were granted on November 1, 2001 and vested 10% on each of the first and second anniversary of grant, 25% on each of the third and fourth anniversary of grant, and 30% on the fifth anniversary of grant. |
(2) | These options were granted on September 24, 2004 and vest in five equal annual installments beginning on September 24, 2005. |
(3) | These options were granted on September 24, 2004 and vest on September 24, 2012, but may vest earlier upon the satisfaction of certain performance targets. |
(4) | These options were granted on May 16, 2007 and vest in three equal annual installments beginning on December 31, 2007. |