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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 | |
GOTTWALD WILLIAM M WESTHAM PARTNERS 9030 STONY POINT PARKWAY RICHMOND, VA 23235 |
X |
Patricia A. Thomas, Attorney-In-Fact | 03/22/2019 | |
**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) | Owned by wife. (Reporting person disclaims beneficial ownership.) |
(2) | Held by me as trustee for Sally's Crummey Trust, U/A dated 1-3-89. (Reporting person disclaims beneficial ownership.) |
(3) | Held by me as trustee FBO Margaret Addison Gottwald, U/A dated 3-9-92. (Reporting person disclaims beneficial ownership.) |
(4) | Held as co-trustee for Sarah Wren Gottwald, U/A dated 3-1-83. (Reporting person disclaims beneficial ownership.) |
(5) | Held as co-trustee FBO (among others) reporting person's family u/w Floyd D. Gottwald. |
(6) | Held by John D. Gottwald and James T. Gottwald, trustees of the William M. Gottwald Trust, U/A dated 8-16-90. (Reporting person disclaims beneficial ownership.) |
(7) | Held by me as trustee of The William Michael Gottwald Revocable Trust dated 2/5/2009. |
(8) | Due to the matters referred to in the Current Report on Form 8-K filed on November 1, 2018, we were unable to file a registration statement on Form S-8 with the SEC to issue registered shares of Tredegar common stock under the Tredegar Corporation 2018 Equity Incentive Plan (the 2018 Plan). As a result, we were unable to issue the stock award portion of director retainers since March 2018. On March 19, 2019, the Form S-8 for the 2018 Plan was filed with the SEC and the share awards owed to our non-employee directors were issued, based on the price at which they would have been issued had they been issued on the dates they were due and payable. |