FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
LIBBEY INC [ LBY ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 11/12/2008 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 11/12/2008 | A | 82.7125 | A | $3.19(1) | 126,679.8479 | D | |||
Common Stock | 31,862.5857 | I | by 401(k) plan | |||||||
Common Stock | 8,406 | I | by Spouse |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 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: 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 | ||||||||
Non-Qualified Stock Option (right to buy) | $11.79 | 12/08/2006(2) | 12/08/2015 | Common Stock | 17,500 | 17,500 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $12.8 | (3) | 02/17/2017 | Common Stock | 56,702 | 56,702 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $15.35 | 02/15/2009(4) | 02/15/2018 | Common Stock | 28,202 | 28,202 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $20.39 | 12/10/2005(5) | 12/11/2014 | Common Stock | 17,500 | 17,500 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $23.93 | 11/20/2003(5) | 11/21/2012 | Common Stock | 35,000 | 35,000 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $28.53 | 12/15/2004(5) | 12/16/2013 | Common Stock | 17,500 | 17,500 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $30.55 | 11/13/2002(2) | 11/14/2011 | Common Stock | 35,000 | 35,000 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $31.375 | 08/24/2000(2) | 08/25/2009 | Common Stock | 30,000 | 30,000 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $32.3125 | 09/08/2001(2) | 09/09/2010 | Common Stock | 30,000 | 30,000 | D |
Explanation of Responses: |
1. Libbey Inc. paid a dividend to shareholders on November 12, 2008. The shares were acquired under the Libbey Inc. Employee Stock Purchase Plan. |
2. The options become exercisable for 40% of the shares on the first anniversary and 20% of the shares on the second, third and fourth anniversary dates. |
3. There were two grants on February 16, 2007. The grant of 29,615 options become exercisable for 25% of the shares on each of the first, second, third and fourth anniversary dates. The grant of 27,087 options become exercisable for 33% of the shares on the first, second and third anniversary dates. |
4. The options become exercisable for 25% of the shares on each of the first, second, third, and fourth anniversary dates. |
5. On December 6, 2005 the Board of Directors approved a motion to accelerate the vesting of all outstanding and unvested stock options that were awarded from 2002 - 2004. |
By: Wendy Daudelin, Attorney in fact For: John F. Meier | 11/14/2008 | |
** 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 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). | ||
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. |