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NORDSON CORP — Director's Dealing 2016
Aug 26, 2016
30481_dirs_2016-08-26_d7ac6914-8966-4eb4-a7fa-abbdd0920364.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: NORDSON CORP (NDSN)
CIK: 0000072331
Period of Report: 2016-08-25
Reporting Person: PEET SHELLY (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-08-25 | Common Stock | M | 2800 | $14.37 | Acquired | 36939 | Direct |
| 2016-08-25 | Common Stock | S | 2800 | $99.69 | Disposed | 34139 | Direct |
| 2016-08-25 | Common Stock | M | 2600 | $27.26 | Acquired | 36739 | Direct |
| 2016-08-25 | Common Stock | S | 2600 | $99.71 | Disposed | 34215 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-08-25 | Employee Stock Options (right to buy) | $14.37 | M | 2800 | Disposed | 2018-12-04 | Common Stock (2800) | Direct |
| 2016-08-25 | Employee Stock Options (right to buy) | $27.26 | M | 2600 | Disposed | 2019-12-03 | Common Stock (2600) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 5 | Indirect |
| Common Stock | 1434 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Options (right to buy) | $43.32 | 2020-12-07 | Common Stock (5600) | 5600 | Direct |
| Employee Stock Options (right to buy) | $43.73 | 2021-11-28 | Common Stock (6000) | 6000 | Direct |
| Employee Stock Options (right to buy) | $61.59 | 2022-11-28 | Common Stock (5000) | 5000 | Direct |
| Employee Stock Options (right to buy) | $71.75 | 2023-11-25 | Common Stock (5200) | 5200 | Direct |
| Employee Stock Options (right to buy) | $79.66 | 2024-11-24 | Common Stock (5800) | 5800 | Direct |
| Employee Stock Options (right to buy) | $70.91 | 2025-11-23 | Common Stock (9100) | 9100 | Direct |
Footnotes
F1: Price reflected is the weighted-average sale price for shares sold. The shares were sold in multiple transactions, and the range of sale prices for the transactions reported was $99.64 to $99.71. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or any staff member of the Securities and Exchange Commission, upon request, information regarding the number of shares sold at each separate price.
F2: Exercise of reporting person's stock options that would otherwise expire December 4, 2018 of which shares were sold to pay the exercise price, to cover withholding taxes, and to pay broker fees and commissions, pursuant to a broker-assisted cashless exercise and sale.
F3: Price reflected is the weighted-average sale price for shares sold. The shares were sold in multiple transactions, and the range of sale prices for the transactions reported was $99.68 to $99.75. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or any staff member of the Securities and Exchange Commission, upon request, information regarding the number of shares sold at each separate price.
F4: Exercise of reporting person's stock options that would otherwise expire December 3, 2019, of which shares were sold to pay the exercise price, to cover withholding taxes, and to pay broker fees and commissions, pursuant to a broker-assisted cashless exercise and sale. The holdings include 76 shares acquired through dividend payments and are net of shares previously withheld or sold to cover withholding taxes.
F5: Represents the number of shares attributable to the reporting person's participation in the Company's Employee Stock Ownership Plan, exempt pursuant to Rule 16b-3(c). The reporting person disclaims beneficial ownership of these securities.
F6: Represents the number of shares attributable to the reporting person's participation in the Company's Savings Plan, exempt pursuant to Rule 16b-3(c). The reporting person disclaims beneficial ownership of these securities.
F7: All such options have fully vested.
F8: On November 28, 2012, the Company awarded 11,000 stock options under the Company's Long-Term Performance Plan. The options vest in 4 equal annual installments beginning on November 28, 2013. The vested portions of such options will become exercisable upon vesting.
F9: On November 25, 2013, the Company awarded 5,200 stock options under the Company's 2012 Stock Incentive and Award Plan. The options vest in 4 equal annual installments beginning on November 25, 2014. The vested portions of such options will become exercisable upon vesting.
F10: On November 24, 2014, the Company awarded 12,200 stock options under the Company's 2012 Stock Incentive and Award Plan. The options vest in 4 equal annual installments beginning on November 24, 2015. The vested portions of such options will become exercisable upon vesting.
F11: On November 23, 2015, the Company awarded 17,200 stock options under the Company's 2012 Stock Incentive and Award Plan. The options vest in 4 equal annual installments beginning on November 23, 2016. The vested portions of such options will become exercisable upon vesting.