FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 11/16/2018 |
3. Issuer Name and Ticker or Trading Symbol
GENTHERM Inc [ THRM ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 17,325(1) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Option to Purchase Common Stock | 11/18/2019(2) | 11/18/2021 | Common Stock | 15,000 | 40.52 | D | |
Option to Purchase Common Stock | 02/24/2020(3) | 02/24/2020 | Common Stock | 15,000 | 40.64 | D | |
Option to Purchase Common Stock | 02/22/2022(4) | 02/22/2022 | Common Stock | 30,000 | 38.05 | D |
Explanation of Responses: |
1. The shares include 12,922 shares of Restricted Common Stock and 4,403 shares of Restricted Stock Units issued under the 2013 Equity Incentive Plan that have been granted to the Reporting Person. The Restricted Common Stock vest in four portions; 2,500 on February 22, 2019, 5,422 on April 4, 2019, 2,500 on February 22, 2020 and 2,500 on February 22, 2021. The Restricted Stock Units vest in three portions; 1,468 on June 11, 2019, 1,468 on June 11, 2020 and 1,468 on June 11, 2021. |
2. Purchase option shares include 9,000 vested shares and 6,000 shares that become exercisable in two installments; 3,000 shares on November 18, 2019 and 3,000 shares on November 18, 2020. |
3. Purchase option shares include 7,500 vested shares and 7,500 shares that become exercisable in two installments; 3,750 shares on February 24, 2019 and 3,750 shares on February 24, 2020. |
4. Purchase option shares include 6,000 vested shares and 24,000 shares that become exercisable in four installments; 6,000 shares on February 22, 2019, 6,000 shares on February 22, 2020, 6,000 shares on February 22, 2021 and 6,000 shares on February 22, 2022. |
Remarks: |
/s/ Paul Cameron Giberson | 11/16/2018 | |
** Signature of Reporting Person | Date | |
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 5 (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. |