Statement of Changes in Beneficial Ownership (4)
07 May 2020 - 8:23AM
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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3235-0287
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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
*
MINICK RUSSELL S |
2. Issuer Name and Ticker or Trading Symbol
GENERAC HOLDINGS INC.
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GNRC
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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) Chief Marketing Officer |
(Last)
(First)
(Middle)
S45 W29290 HWY.59, C/O GENERAC HOLDINGS INC. |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/5/2020 |
(Street)
WAUKESHA, WI 53189
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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 | 5/5/2020 | | S | | 9051 | D | $100.2273 (1) | 14150 | D | |
Common Stock | 5/5/2020 | | M | | 5521 | A | $33.23 | 19671 | D | |
Common Stock | 5/5/2020 | | S | | 5421 | D | $99.4764 (2) | 14250 | D | |
Common Stock | 5/5/2020 | | S | | 100 | D | $100.06 | 14150 | D | |
Common Stock | 5/5/2020 | | M | | 6239 | A | $40.12 | 20389 | D | |
Common Stock | 5/5/2020 | | S | | 6239 | D | $99.4877 (3) | 14150 | D | |
Common Stock | 5/5/2020 | | M | | 6088 | A | $43.88 | 20238 | D | |
Common Stock | 5/5/2020 | | S | | 5988 | D | $99.5063 (4) | 14250 | D | |
Common Stock | 5/5/2020 | | S | | 100 | D | $100.11 | 14150 | D | |
Common Stock | 5/5/2020 | | M | | 5787 | A | $52.065 | 19937 | D | |
Common Stock | 5/5/2020 | | S | | 5687 | D | $99.50360 (5) | 14250 | D | |
Common Stock | 5/5/2020 | | S | | 100 | D | $100.12 | 14150 | 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 |
Stock Option (Right to Buy) | $33.23 | 5/5/2020 | | M | | | 5521 | (6) | 2/18/2026 | Common Stock | 5521 | $0 | 0 | D | |
Stock Option (Right to Buy) | $40.12 | 5/5/2020 | | M | | | 6239 | (6) | 3/1/2027 | Common Stock | 6239 | $0 | 6239 | D | |
Stock Option (Right to Buy) | $43.88 | 5/5/2020 | | M | | | 6088 | (6) | 3/1/2028 | Common Stock | 6088 | $0 | 12176 | D | |
Stock Option (Right to Buy) | $52.065 | 5/5/2020 | | M | | | 5787 | (6) | 3/1/2029 | Common Stock | 5787 | $0 | 17364 | D | |
Explanation of Responses: |
(1) | The price reported is the weighted average price. The shares were sold in multiple transactions at prices ranging from $99.99 to $100.52, inclusive. The reporting person undertakes to provide the SEC, the issuer and any security holder full information regarding the number of shares and the prices at which the shares were sold. |
(2) | The price reported is the weighted average price. The shares were sold in multiple transactions at prices ranging from $99.045 to $99.94, inclusive. The reporting person undertakes to provide the SEC, the issuer and any security holder full information regarding the number of shares and the prices at which the shares were sold. |
(3) | The price reported is the weighted average price. The shares were sold in multiple transactions at prices ranging from $99.045 to $100.00, inclusive. The reporting person undertakes to provide the SEC, the issuer and any security holder full information regarding the number of shares and the prices at which the shares were sold. |
(4) | The price reported is the weighted average price. The shares were sold in multiple transactions at prices ranging from $99.04 to $99.99, inclusive. The reporting person undertakes to provide the SEC, the issuer and any security holder full information regarding the number of shares and the prices at which the shares were sold. |
(5) | The price reported is the weighted average price. The shares were sold in multiple transactions at prices ranging from $99.045 to $100.00, inclusive. The reporting person undertakes to provide the SEC, the issuer and any security holder full information regarding the number of shares and the prices at which the shares were sold. |
(6) | Subject to continued service through the vesting date, the Options shall all vest in equal installments on each of the first four (4) anniversaries of the Date of Grant. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
MINICK RUSSELL S S45 W29290 HWY.59 C/O GENERAC HOLDINGS INC. WAUKESHA, WI 53189 |
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| Chief Marketing Officer |
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Signatures
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/s/ Raj Kanuru, as Attorney in Fact | | 5/6/2020 |
**Signature of Reporting Person | Date |
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