Amended Statement of Changes in Beneficial Ownership (4/a)
18 Juni 2013 - 8:59PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
*
SHUMAKER WILLIAM A
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2. Issuer Name
and
Ticker or Trading Symbol
KEWAUNEE SCIENTIFIC CORP /DE/
[
KEQU
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chief Executive Officer
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(Last)
(First)
(Middle)
2700 WEST FRONT STREET
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3. Date of Earliest Transaction
(MM/DD/YYYY)
6/11/2013
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(Street)
STATESVILLE, NC 28677-2927
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
6/13/2013
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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37052
(1)
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Option to Buy
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$10.64
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(2)
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8/25/2020
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Common Stock
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6250
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6250
(3)
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D
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Explanation of Responses:
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(
1)
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On June 13, 2013, the reporting person mistakenly reported a net exercise of stock options granted under an Employee Stock Option Plan under rule 16b-3 on August 25, 2010. The reporting person had previously exercised all vested stock options from the August 25, 2010 grant, therefore the Form 4 filed on June 13, 2013 was erroneously filed. The reporting person and the company have taken all necessary steps to unwind the transaction. As of June 13, 2013 the reporting person beneficially owned 37,052 shares.
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(
2)
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The options vest in four equal annual installments beginning with the first installment on August 25, 2011.
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(
3)
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On June 13, 2013, the reporting person mistakenly reported a net exercise of stock options granted under an Employee Stock Option Plan under rule 16b-3 on August 25, 2010. The reporting person had previously exercised all vested stock options from the August 25, 2010 grant, therefore the Form 4 filed on June 13, 2013 was erroneously filed. The reporting person and the company have taken all necessary steps to unwind the transaction. As of June 13, 2013 the reporting person beneficially owned 6,250 Options to Buy of the August 25, 2010 grant.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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SHUMAKER WILLIAM A
2700 WEST FRONT STREET
STATESVILLE, NC 28677-2927
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X
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Chief Executive Officer
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Signatures
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/s/ William A. Shumaker
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6/18/2013
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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