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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 | ||||||||
Exchange obligation of MacDermid shares (call equivalent) | $ 11 | 02/28/2014 | C(1) | 11,329 (1) | (2) | (2) | Common Stock | 11,329 | $ 0 | 0 | I | 401(k) Plan | |||
Convertible Shares of Platform Delaware Holdings, Inc. | (3) | (3) | (3) | Common Stock | 283,117 | 283,117 | I | By Tartan Holdings, LLC (3) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MONTEIRO FRANK C/O PLATFORM SPECIALTY PRODUCTS CORP., 5200 BLUE LAGOON DRIVE, SUITE 855 MIAMI, FL 33126 |
CFO |
/s/ Frank J. Monteiro | 03/04/2014 | |
**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) | Transaction exempt pursuant to Rule 16b-6. |
(2) | Pursuant to an irrevocable election made by the reporting person, the reporting person had the obligation to exchange his beneficial ownership interest in shares of common stock and preferred stock of MacDermid, Incorporated, an indirect subsidiary of the Issuer, held by the MacDermid, Incorporated Profit Sharing and Employee Savings Plan (the "Plan"), for a beneficial ownership interest in the Common Stock of the Issuer upon consummation of the transactions contemplated by an Exchange Agreement between the Issuer and the Plan fiduciaries. |
(3) | The reporting person holds membership interests in Tartan Holdings, LLC ("Tartan"). Tartan holds 7,468,466 shares of the common stock of Platform Delaware Holdings, Inc., a direct wholly-owned subsidiary of the Issuer ("PDH"). Shares of PDH common stock are convertible, at the option of the holder, into a like number of shares of Common Stock of the Issuer at any time after the earlier of (i) October 31, 2014 or (ii) a change of control of the Issuer. |