Amended Statement of Changes in Beneficial Ownership (4/a)
13 Oktober 2021 - 5:00PM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
Lyon Samuel |
2. Issuer Name and Ticker or Trading Symbol
AMPCO PITTSBURGH CORP
[
AP
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President of Union Electric |
(Last)
(First)
(Middle)
726 BELL AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/13/2021 |
(Street)
CARNEGIE, PA 15106
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
5/14/2021 |
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 | 5/13/2021 | | A | | 18398 (1)(2) | A | $0.00 | 68845 | D | |
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) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | On May 14, 2021, the reporting person filed a Form 4 which erroneously reported that he had been awarded 17,248 shares of common stock incident to the award of restricted stock units in 2021. In fact, as reported in this amendment, the reporting person was awarded 18,398 shares of common stock. The subsequent transaction reported on August 17, 2021 shall be updated accordingly such that the total amount of securities beneficially owned by the reporting person reported in Column 5 of of Table I following such transactions is 74,248 shares of common stock. |
(2) | Represents a grant of restricted stock units under the Ampco-Pittsburgh Corporation ("Company") 2016 Omnibus Incentive Plan, as amended
and restated as of May 13, 2021. Each restricted stock unit represents the contingent right to receive, upon vesting of the unit, one share of
Ampco-Pittsburgh Corporation common stock. Restricted stock units vest in three equal annual installments beginning on the first anniversary of
the grant date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Lyon Samuel 726 BELL AVENUE CARNEGIE, PA 15106 |
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| President of Union Electric |
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Signatures
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/s/ Rose Hoover for Samuel Lyon (POA previously filed) | | 10/13/2021 |
**Signature of Reporting Person | Date |
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