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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN 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. | |||
| 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. | SEC 1474 (9-02) | ||
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1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Restricted Stock Units | (1) | 03/13/2024 | M | 864 | (3) | (3) | Ordinary Shares | 864 | (1) | 0 | D | ||||
| Restricted Stock Units | (1) | 03/14/2024 | M | 810 | (4) | (4) | Ordinary Shares | 810 | (1) | 1,627 (5) | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| MEAD HOWARD IOAN LUXFER HOLDINGS PLC, LUMNS LANE MANCHESTER, X0 M27 8LN |
See Remarks | |||
| /s/ Megan E. Glise under Power of Attorney for Howard I. Mead | 03/15/2024 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 4(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) | Restricted Stock Units convert 1 for 1, subject to a nominal payment of $1.00 per Ordinary Share. |
| (2) | The above figure includes (i) 825 Ordinary Shares, including those accrued related to dividend reinvestment rights, acquired since the Reporting Person's last reportable transaction pursuant to the Luxfer Holdings PLC Employee Stock Purchase Plan (the "ESPP") for the purchase periods of December 21, 2022 - June 16, 2023 and June 19, 2023 - December 18, 2023; and (ii) 165 Ordinary Shares acquired since the Reporting Person's last reportable transaction pursuant to the dividend reinvestment feature of the Luxfer Holdings PLC Long-Term Umbrella Incentive Plan. These transactions are exempt pursuant to Rule 16b-3(c). In accordance with the ESPP, said Ordinary Shares were purchased at a price equal to the closing price of the Issuer's Ordinary Shares on June 16, 2023 and December 18, 2023, respectively. |
| (3) | The Restricted Stock Units fully vested on March 13, 2024. The above figure includes 114 additional Restricted Stock Units accrued related to dividend reinvestment rights. |
| (4) | The remaining Restricted Stock Units vest in two equal annual installments on March 14, 2025 and March 14, 2026. The above figure includes 60 additional Restricted Stock Units accrued related to dividend reinvestment rights. |
| (5) | The above figure includes 127 additional Restricted Stock Units accrued related to dividend reinvestment rights. |
| Remarks: Vice President and General Manager, Luxfer Gas Cylinders - Composite |
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