Statement of Changes in Beneficial Ownership (4)
06 Marzo 2020 - 03:19PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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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
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O'Callaghan Catherine A. |
2. Issuer Name and Ticker or Trading Symbol
FORD MOTOR CO
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F
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Vice President and Controller |
(Last)
(First)
(Middle)
ONE AMERICAN ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/4/2020 |
(Street)
DEARBORN, MI 48126
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, $0.01 par value | 3/4/2020 | | M(1) | | 10188 | A | (1) | 66939 | D | |
Common Stock, $0.01 par value | 3/4/2020 | | F(2) | | 4697 | D | $7.08 | 62242 | D | |
Common Stock, $0.01 par value | 3/4/2020 | | M(3) | | 901 | A | (3) | 36277 | I | by Spouse (4) |
Common Stock, $0.01 par value | 3/4/2020 | | F(5) | | 150 | D | $7.08 | 36127 | I | by Spouse (4) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Ford Stock Units | (1) | 3/4/2020 | | M (1) | | | 10188 | (1) | (1) | Common Stock, $0.01 par value | 10188 | (1) | 20686 | D | |
Ford Stock Units | (6) | 3/4/2020 | | A (6) | | 42372 | | (6) | (6) | Common Stock, $0.01 par value | 42372 | (6) | 42372 | D | |
Ford Stock Units | (3) | 3/4/2020 | | M (3) | | | 901 (7) | (3) | (3) | Common Stock, $0.01 par value | 901 (7) | (3) | 1834 (7) | I | by Spouse (7) |
Ford Stock Units | (8) | 3/4/2020 | | A (8) | | 3813 | | (8) | (8) | Common Stock, $0.01 par value | 3813 | (8) | 3813 | I | by Spouse (9) |
Explanation of Responses: |
(1) | The reported transaction involved the conversion, without payment by me, of Ford Stock Units into shares of Common Stock under the Company's Long-Term Incentive Plan. |
(2) | These shares were withheld by the Company to cover my income tax liability relating to the award vesting of Common Stock under the Company's Long-Term Incentive Plan. |
(3) | The reported transaction involved the conversion, without payment by my spouse or me, of Ford Stock Units into shares of Common Stock under the Company's Long-Term Incentive Plan. |
(4) | These shares are held by my spouse. |
(5) | These shares were withheld by the Company to cover my spouse's income tax liability relating to vesting of awards of Common Stock under the
Company's Long-Term Incentive Plan. |
(6) | These Ford Restricted Stock Units were acquired under the Company's Long-Term Incentive Plan without payment by me. These Ford Restricted Stock Units will be converted and distributed to me, without payment, in shares of Common Stock to the extent of 33% after one year from the date of grant (03/04/2020), 66% after two years, and in full after three years. |
(7) | These Ford Stock Units are held by my spouse. The balance shown includes additional units resulting from reinvestment of dividend equivalents. |
(8) | These Ford Restricted Stock Units were acquired under the Company's Long-Term Incentive Plan without payment by my spouse or me. These Ford Restricted Stock Units will be converted and distributed to my spouse, without payment, in shares of Common Stock to the extent of 33% after one year from the date of grant (03/04/2020), 66% after two years, and in full after three years. |
(9) | These Ford Stock Units are held by my spouse. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
O'Callaghan Catherine A. ONE AMERICAN ROAD DEARBORN, MI 48126 |
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| Vice President and Controller |
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Signatures
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Jerome F. Zaremba,
Attorney-in-Fact | | 3/6/2020 |
**Signature of Reporting Person | Date |
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