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, 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. | 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 | ||||
WARRANTS (Right to buy Common Stock) | 02/03/2014 | Â (2) | Common Stock | 0 | $ 17 | I | See Footnote (1) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FRANKEL ROGER LEE 2101 L STREET, N.W., SUITE 800 WASHINGTON, DC 20037 |
 |  X |  |  |
/s/ Roger Frankel | 02/11/2014 | |
**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) | Roger Frankel, in his capacity as the Asbestos Future Claimants' Representative under the WRG Asbestos PI Trust Agreement dated February 3, 2014, is filing this Form 3. Notwithstanding anything to the contrary contained herein, the filing of this Form 3 by Mr. Frankel should not be construed as an admission by Mr. Frankel that he is, and he expressly disclaims that he is, the beneficial owner of any of the securities of WR Grace & Co. |
(2) | The Warrants will expire at 5:00 p.m., New York City time, on February 3, 2015 or, if such day in not a business day, the next succeeding day which is a business day. |