0001209191-16-102838.txt : 20160226 0001209191-16-102838.hdr.sgml : 20160226 20160226161137 ACCESSION NUMBER: 0001209191-16-102838 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150706 FILED AS OF DATE: 20160226 DATE AS OF CHANGE: 20160226 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Axalta Coating Systems Ltd. CENTRAL INDEX KEY: 0001616862 STANDARD INDUSTRIAL CLASSIFICATION: PAINTS, VARNISHES, LACQUERS, ENAMELS & ALLIED PRODUCTS [2851] IRS NUMBER: 981073028 STATE OF INCORPORATION: D0 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: TWO COMMERCE SQUARE STREET 2: 2001 MARKET STREET, SUITE 3600 CITY: PHILADELPHIA STATE: PA ZIP: 19103 BUSINESS PHONE: (855) 547-1461 MAIL ADDRESS: STREET 1: TWO COMMERCE SQUARE STREET 2: 2001 MARKET STREET, SUITE 3600 CITY: PHILADELPHIA STATE: PA ZIP: 19103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bustos Orlando Antonio CENTRAL INDEX KEY: 0001515772 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-36733 FILM NUMBER: 161461941 MAIL ADDRESS: STREET 1: 5653 SHADOW LANE CITY: BLOOMFIELD TOWNSHIP STATE: MI ZIP: 49302 4/A 1 doc4a.xml FORM 4/A SUBMISSION X0306 4/A 2015-07-06 2015-07-08 0 0001616862 Axalta Coating Systems Ltd. AXTA 0001515772 Bustos Orlando Antonio TWO COMMERCE SQUARE 2001 MARKET STREET SUITE 3600 PHILADELPHIA PA 19103 1 0 0 0 Common Shares 2015-07-06 4 M 0 52821 5.92 A 52821 I See Footnote Common Shares 2015-07-06 4 M 0 719 7.21 A 53540 I See Footnote Common Shares 2015-07-06 4 M 0 8258 7.21 A 61798 I See Footnote Common Shares 2015-07-06 4 M 0 28534 8.88 A 90332 I See Footnote Common Shares 2015-07-06 4 S 0 20000 32.51 D 70332 I See Footnote Common Shares 2015-07-07 4 M 0 78175 8.88 A 148507 I See Footnote Common Shares 2015-07-07 4 S 0 1957 33.54 D 146550 I See Footnote Common Shares 2015-07-07 4 S 0 43043 32.98 D 103507 I See Footnote Common Shares 2015-07-08 4 M 0 16541 8.88 A 120048 I See Footnote Common Shares 2015-07-08 4 S 0 15741 32.54 D 104307 I See Footnote Common Shares 2015-07-08 4 S 0 800 33.22 D 103507 D Employee Stock Options 5.92 2015-07-06 4 M 0 52821 0.00 D 2023-07-30 Common Shares 52821 0 I See Footnote Employee Stock Options 7.21 2015-07-06 4 M 0 8977 0.00 D 2024-05-05 Common Shares 8977 0 I See Footnote Employee Stock Options 8.88 2015-07-06 4 M 0 28534 0.00 D 2023-07-30 Common Shares 28534 94716 I See Footnote Employee Stock Options 8.88 2015-07-07 4 M 0 78175 0.00 D 2023-07-30 Common Shares 78175 16541 I See Footnote Employee Stock Options 8.88 2015-07-08 4 M 0 16541 0.00 D 2023-07-30 Common Shares 16541 0 I See Footnote Amount amended to correct number of option shares exercised by reporting person on July 6, 2015. Amount amended to correct number of shares beneficially owned following reported transaction on July 6, 2015. By OHorizons Global, of which the reporting person is Chairman and Chief Executive Officer. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan duly adopted by the reporting person. The price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $32.04 to $32.76. 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. Amount amended to correct number of option shares exercised by reporting person on July 7, 2015. Amount amended to correct number of shares beneficially owned following reported transaction on July 7, 2015. The price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $33.50 to $33.58. 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. The price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $32.50 to $33.49. 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. Amount amended to correct number of option shares exercised by reporting person on July 8, 2015. Amount amended to correct number of shares beneficially owned following reported transaction on July 8, 2015. The price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $32.17 to $33.16. 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. The price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $33.17 to $33.29. 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. On August 19, 2015, the reporting person transferred shares held indirectly by OHorizons Global to a personal account. This option vested in five annual installments beginning on January 1, 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. This option vested in five equal annual installments beginning on May 5, 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. /s/ W. Andrew Macan, attorney-in-fact 2016-02-26