Sec Form 4 Filing - STREETER STEPHANIE A @ LIBBEY INC - 2015-11-10

Insider filing report for Changes in Beneficial Ownership
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
What is insider trading>>
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
OMB APPROVAL
OMB Number: 3235-0287
Expires: November 30, 2011
Estimated average burden hours per response... 0.5
1. Name and Address of Reporting Person
STREETER STEPHANIE A
2. Issuer Name and Ticker or Trading Symbol
LIBBEY INC [ LBY]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Chief Executive Officer
(Last) (First) (Middle)
300 MADISON AVENUE
3. Date of Earliest Transaction (MM/DD/YY)
11/10/2015
(Street)
TOLEDO, OH43604
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 11/10/2015 P 2,500 A $ 25.35 141,644 D
Restricted Stock Units 25,985 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
Common Shares $ 23.02 02/24/2015( 1 ) 02/24/2024 Common Stock 39,515 39,515 D
Restricted Stock Units ( 2 ) ( 2 ) ( 2 ) Common Stock 115,687 115,687 D
Share Appreciation Right $ 21.29 12/31/2018( 3 ) 12/16/2023 Common Stock 240,829 240,829 D
NQ - Stock Option (Right to Buy) $ 38.06 02/17/2016 03/02/2025 Common Stock 35,094 35,094 D
Non-Qualified Stock Option (right to buy) $ 13.95 02/17/2013( 1 ) 02/17/2022 Common Stock 24,419 24,419 D
Non-Qualified Stock Option (right to buy) $ 19.02 02/22/2014( 1 ) 02/22/2023 Common Stock 44,154 44,154 D
NQ - Stock Option (Right to Buy) $ 38.06 02/17/2016( 4 ) 03/02/2025 Common Stock 35,094 35,094 D
Non-Qualified Stock Option (right to buy) $ 15.47 06/30/2012( 5 ) 07/29/2021 Common Stock 30,382 30,382 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
STREETER STEPHANIE A
300 MADISON AVENUE
TOLEDO, OH43604
X Chief Executive Officer
Signatures
By: Debbie Hyndman, Attorney-in-Fact For: Stephanie A. Streeter 11/10/2015
Signature of Reporting Person Date
Explanation of Responses:
( 1 )The options become exercisable for 25% of the shares on each of the first, second, third, and fourth anniversary dates.
( 2 )Each retention restricted stock unit ("Retention RSU") vests on December 31, 2018. When vested, each Retention RSU will entitle Ms. Streeter to a payment in cash equal to the amount of the closing price of a share of Libbey Inc. common stock on the vesting date.
( 3 )Each retention share appreciation right ("Retention SAR") vests on December 31, 2018 and expires on December 16, 2023. When exercised, each Retention SAR will entitle Ms. Streeter to a payment in cash equal to the amount, if any, by which the closing price of a share of Libbey Inc. common stock on the date of exercise exceeds $21.29.
( 4 )The options become exercisable for 25% of the shares on February 17th of each of 2016, 2017, 2018 and 2019 provided the grantee remains continuously employed by the Company as of those respective dates.
( 5 )The options become exercisable for 25% of the shares on June 30, 2012, June 30, 2013, June 30, 2014 and June 30, 2015.

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).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.