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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Phantom Stock Units | $ 0 | 04/28/2014 | A(1) | 987 | 08/08/1988 | 08/08/1988 | BMI Common Stock | 987 | $ 50.65 (2) | 3,472.985 (3) | D | ||||
Stock Options | $ 18.325 | 05/09/2006 | 05/09/2015 | BMI Common Stock | 1,500 | 1,500 | D | ||||||||
Stock Options | $ 31.41 | 05/05/2007 | 05/05/2016 | BMI Common Stock | 3,600 | 3,600 | D | ||||||||
Stock Options | $ 24.94 | 05/04/2008 | 05/04/2017 | BMI Common Stock | 3,600 | 3,600 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DIX RONALD H 4545 W BROWN DEER ROAD P.O. BOX 245036 MILWAUKEE, WI 53224-9536 |
X | Retired Officer |
Ronald H. Dix | 04/29/2014 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The phantom stock units were accrued in Mr. Dix's Badger Meter, Inc. Director Deferred Compensation Plan account as payment for the annual director's stock grant made on April 28, 2014 for the value of $50,000 rounded down to the nearest whole share. The units were calculated at the closing price of the company stock on 4/28/2014. Total includes an additional 33.033 phantom units accrued during 2013 as interest on the balance at year end. |
(2) | Closing price of Badger Meter, Inc. Common Stock at 4/28/2014, the date of grant. |
(3) | When a director chooses to exit the Director Deferred Compensation Plan all proceeds are paid out in cash. |