UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Option (Right to Buy) | 06/30/2017 | 06/30/2026 | Common Stock | 35,824 | $ 8.05 | D | |
Option (Right to Buy) | 06/30/2017 | 01/15/2027 | Common Stock | 3,582 | $ 8.98 | D | |
Option (Right to Buy) | 06/30/2018 | 06/30/2026 | Common Stock | 35,825 | $ 8.05 | D | |
Option (Right to Buy) | 06/30/2018 | 01/15/2027 | Common Stock | 3,582 | $ 8.98 | D | |
Option (Right to Buy) | 06/30/2019 | 06/30/2026 | Common Stock | 35,825 | $ 8.05 | D | |
Option (Right to Buy) | 06/30/2019 | 01/15/2027 | Common Stock | 3,583 | $ 8.98 | D | |
Option (Right to Buy) | (2) | 06/30/2026 | Common Stock | 107,475 | $ 8.05 | D | |
Option (Right to Buy) | (2) | 01/15/2027 | Common Stock | 10,747 | $ 8.98 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GENTILCORE JAMES C/O PQ GROUP HOLDINGS INC. 300 LINDENWOOD DRIVE MALVERN, PA 19355 |
X | See Remarks |
/s/ Joseph S. Koscinski, attorney-in-fact | 09/29/2017 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Represents shares of common stock held by a family trust. Mr. Gentilcore disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, and the filing of this report is not an admission that Mr. Gentilcore is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
(2) | This option vests upon the achievement of certain performance conditions related to the market price of the issuer's common stock. |
Remarks: Chief Executive Officer, President and Director Exhibit 24.1 - Power of Attorney |