Form 4 for AXTA Axalta Coating Systems Ltd.
Accepted 2023-11-15 00:00:00 ET · period of report 2023-11-14 · accession 0001209191-23-055412 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2023-11-15 | 2023-11-14 | AXTA | Massey Anthony | VP, Gbl Ctrl, PAO | S - Sale+OE | $30.88 | -17.9K | 19.4K | -48% | -$553.2K |
| DM | 2023-11-15 | 2023-11-14 | AXTA | Massey Anthony | VP, Gbl Ctrl, PAO | M - OptEx | $9.65 | +14.6K | 26.4K | +124% | +$140.8K |
| DM | 2023-11-15 | 2023-11-14 | AXTA | Massey Anthony | VP, Gbl Ctrl, PAO | M - OptEx | $0.00 | -14.6K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Shares | 2023-11-14 | S | D | 17,915 | $30.88 | 19,420 | D | — | — | (F1) The price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $30.83 to $30.95. 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. |
| 2 | Common | Common Shares | 2023-11-14 | M | A | 5,840 | $11.84 | 37,335 | D | — | — | |
| 3 | Common | Common Shares | 2023-11-14 | M | A | 5,110 | $8.88 | 31,495 | D | — | — | |
| 4 | Common | Common Shares | 2023-11-14 | M | A | 3,651 | $7.21 | 26,385 | D | — | — | |
| 5 | Derivative | Employee Stock Option | 2023-11-14 | M | D | 3,651 | $0.00 | 0 | D | $7.21 · — to 2024-05-22 | 3,651 Common Shares | (F2) This option vests in five equal annual installments beginning on May 21, 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. |
| 6 | Derivative | Employee Stock Option | 2023-11-14 | M | D | 5,110 | $0.00 | 0 | D | $8.88 · — to 2024-05-22 | 5,110 Common Shares | (F2) This option vests in five equal annual installments beginning on May 21, 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. |
| 7 | Derivative | Employee Stock Option | 2023-11-14 | M | D | 5,840 | $0.00 | 0 | D | $11.84 · — to 2024-05-22 | 5,840 Common Shares | (F2) This option vests in five equal annual installments beginning on May 21, 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. |