Sec Form 4 Filing - Schlater Benjamin @ FERRO CORP - 2018-09-01

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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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1. Name and Address of Reporting Person
Schlater Benjamin
2. Issuer Name and Ticker or Trading Symbol
FERRO CORP [ FOE]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Chief Financial Officer
(Last) (First) (Middle)
6060 PARKLAND BLVD, SUITE 250
3. Date of Earliest Transaction (MM/DD/YY)
09/01/2018
(Street)
MAYFIELD HEIGHTS, OH44124
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 09/01/2018 M 3,676 A 11,616 D
Common Stock 09/01/2018 M 8,354 A 19,970 D
Common Stock 09/04/2018 F 2,411 D $ 21.95 17,559 D
Common Stock 09/04/2018 F 1,246 D $ 21.95 16,313 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units $ 0 09/01/2018 M 3,676 09/01/2018 09/01/2025 Common Stock 3,676 $ 0 8,354 D
Restricted Stock Units $ 0 09/01/2018 M 8,354 09/01/2018 09/01/2025 Common Stock 8,354 $ 0 0 D
Performance Share Unit $ 0 ( 2 ) 12/31/2018 Common Stock 15,700 15,700 D
Performance Share Unit $ 0 ( 2 ) 12/31/2019 Common Stock 17,300 17,300 D
Performance Share Unit $ 0 ( 2 ) 12/31/2020 Common Stock 12,500 12,500 D
Phantom Shares ( 3 ) ( 3 ) ( 3 ) Common Stock 2,917.2472 2,917.2472 D
Restricted Share Unit $ 0 02/17/2019 02/17/2019 Common Stock 4,700 4,700 D
Restricted Share Unit $ 0 09/01/2019 09/01/2019 Common Stock 1,500 1,500 D
Restricted Share Unit $ 0 02/15/2020 02/15/2020 Common Stock 6,900 6,900 D
Restricted Share Unit $ 0 02/21/2021 02/21/2021 Common Stock 5,000 5,000 D
Stock Options (Right to Buy) $ 22.01 ( 4 ) 02/21/2028 Common Stock 16,500 16,500 D
Stock Options (Right to Buy) $ 14.27 02/15/2018 02/15/2027 Common Stock 20,600 20,600 D
Stock Options (Right to Buy) $ 13.35 09/01/2017 09/01/2026 Common Stock 3,066 3,066 D
Stock Options (Right to Buy) $ 11.97 09/01/2016 09/01/2025 Common Stock 3,247 3,247 D
Stock Options (Right to Buy) $ 9.6 02/17/2017 02/17/2026 Common Stock 9,266 9,266 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Schlater Benjamin
6060 PARKLAND BLVD
SUITE 250
MAYFIELD HEIGHTS, OH44124
Chief Financial Officer
Signatures
/s/ Richard Shuttie, Treasurer, by Power of Attorney 09/05/2018
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Restricted share units convert into Common Stock on a one-to-one basis.
( 2 )Performance Share Units granted as a performance award, vesting based upon degree of achievement of performance goal. At the end of the performance period, 50% of award is paid in common shares free of restrictions, and 50% is paid in cash. If the final amount is less than 100% of the share units, the balance is forfeited to the company.
( 3 )Represent phantom shares awarded under the Company's Supplemental Defined Contribution Plan for Executive Employees.
( 4 )33+% per year for 3 years beginning on 21-Feb-2019

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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