FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 11/26/2017 |
3. Issuer Name and Ticker or Trading Symbol
INVACARE CORP [ IVC ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Shares | 26,252(1) | D | |
Common Shares | 4,942.858 | I | By Invacare Retirement Savings Plan(2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (Right to Buy) | (3) | 08/20/2018 | Common Shares | 11,300 | $25.79 | D | |
Employee Stock Option (Right to Buy) | (3) | 08/19/2019 | Common Shares | 11,300 | $20.48 | D | |
Employee Stock Option (Right to Buy) | (3) | 08/18/2020 | Common Shares | 7,200 | $25.24 | D | |
Employee Stock Option (Right to Buy) | (3) | 09/02/2021 | Common Shares | 6,600 | $24.45 | D | |
Employee Stock Option (Right to Buy) | (3) | 08/14/2022 | Common Shares | 8,000 | $13.37 | D | |
Phantom Stock | (4) | (4) | Common Shares | 357.249(5) | $0.00 | D |
Explanation of Responses: |
1. Includes 18,967 restricted shares granted pursuant to the Invacare Corporation 2013 Equity Compensation Plan in exempt transactions under Rule 16b-3. 2,967 of these restricted shares vest on May 15, 2018; 6,000 of these restricted shares vest in 1/2 annual increments on May 15, 2018 and May 15, 2019; and 10,000 of these restricted shares vest in 1/3 annual increments over three years commencing on May 15, 2018. |
2. Owned by the Trustee for the Invacare Retirement Savings Plan. The information given is based on a Plan Statement of November 27, 2017, the most recent information reasonably available. |
3. Immediately exercisable. |
4. Upon cessation of employment in accordance with the terms and conditions of the Invacare Corporation Deferred Compensation Plus Plan. |
5. Owned by Trustee for the Invacare Corporation Deferred Compensation Plus Plan. The information given is based on a Plan Statement of November 27, 2017, the most recent information reasonably available. |
Remarks: |
/s/ Kristofer K. Spreen as attorney-in-fact for Kathleen P. Leneghan under Power of Attorney | 11/29/2017 | |
** 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 5 (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. |