Axalta Coating Systems Ltd. — Director's Dealing 2016

Feb 26, 2016

SEC Form 4/A — Form 4/A

Issuer: Axalta Coating Systems Ltd. (AXTA)
CIK: 0001616862
Period of Report: 2015-07-06

Reporting Person: Bustos Orlando Antonio (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2015-07-06	Common Shares	M	52821	$5.92	Acquired	52821	Indirect
2015-07-06	Common Shares	M	719	$7.21	Acquired	53540	Indirect
2015-07-06	Common Shares	M	8258	$7.21	Acquired	61798	Indirect
2015-07-06	Common Shares	M	28534	$8.88	Acquired	90332	Indirect
2015-07-06	Common Shares	S	20000	$32.51	Disposed	70332	Indirect
2015-07-07	Common Shares	M	78175	$8.88	Acquired	148507	Indirect
2015-07-07	Common Shares	S	1957	$33.54	Disposed	146550	Indirect
2015-07-07	Common Shares	S	43043	$32.98	Disposed	103507	Indirect
2015-07-08	Common Shares	M	16541	$8.88	Acquired	120048	Indirect
2015-07-08	Common Shares	S	15741	$32.54	Disposed	104307	Indirect
2015-07-08	Common Shares	S	800	$33.22	Disposed	103507	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2015-07-06	Employee Stock Options	$5.92	M	52821	Disposed	2023-07-30	Common Shares (52821)	Indirect
2015-07-06	Employee Stock Options	$7.21	M	8977	Disposed	2024-05-05	Common Shares (8977)	Indirect
2015-07-06	Employee Stock Options	$8.88	M	28534	Disposed	2023-07-30	Common Shares (28534)	Indirect
2015-07-07	Employee Stock Options	$8.88	M	78175	Disposed	2023-07-30	Common Shares (78175)	Indirect
2015-07-08	Employee Stock Options	$8.88	M	16541	Disposed	2023-07-30	Common Shares (16541)	Indirect

Footnotes

F1: Amount amended to correct number of option shares exercised by reporting person on July 6, 2015.

F2: Amount amended to correct number of shares beneficially owned following reported transaction on July 6, 2015.

F3: By OHorizons Global, of which the reporting person is Chairman and Chief Executive Officer.

F4: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan duly adopted by the reporting person.

F5: The price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $32.04 to $32.76. The reporting person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F6: Amount amended to correct number of option shares exercised by reporting person on July 7, 2015.

F7: Amount amended to correct number of shares beneficially owned following reported transaction on July 7, 2015.

F8: The price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $33.50 to $33.58. The reporting person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F9: The price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $32.50 to $33.49. The reporting person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F10: Amount amended to correct number of option shares exercised by reporting person on July 8, 2015.

F11: Amount amended to correct number of shares beneficially owned following reported transaction on July 8, 2015.

F12: The price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $32.17 to $33.16. The reporting person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F13: The price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $33.17 to $33.29. The reporting person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F14: On August 19, 2015, the reporting person transferred shares held indirectly by OHorizons Global to a personal account.

F15: This option vested in five annual installments beginning on January 1, 2014. On April 8, 2015, this option vested in full in accordance with the terms of the Axalta Coating Systems Bermuda Co., Ltd. 2013 Equity Incentive Plan.

F16: This option vested in five equal annual installments beginning on May 5, 2014. On April 8, 2015, this option vested in full in accordance with the terms of the Axalta Coating Systems Bermuda Co., Ltd. 2013 Equity Incentive Plan.