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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 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 (Month/Day/Year) |
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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Phantom Stock | (2) | 11/02/2017 | A | 0.213 (1) | (3) | (3) | $.01 Par Value Common | 0.213 | $ 81.5 | 86.899 (4) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Harter Ava ONE OWENS CORNING PARKWAY TOLEDO, OH 43659 |
Sr. VP & General Counsel |
/s/ Omar Chaudhary, Attorney-in-Fact | 11/06/2017 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Additional shares reflect the reinvestment of dividends or dividend equivalents. |
(2) | Each share of phantom stock is the economic equivalent of one share of Issuer common stock. |
(3) | Phantom stock acquired through Issuer's Deferred Compensation Plan to be paid out upon Reporting Person's separation or upon the earlier of Reporting Person's separation or December 15, 2018, based on Reporting Person's election. |
(4) | Includes 86.686 shares of phantom stock, acquired in the OC Stock Fund of the Deferred Compensation Plan and mandatory dividend reinvestment feature of the Deferred Compensation Plan, that were not previously reported. |