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Stoneridge Executive Cashes Out Phantom Shares Amid Brazil Operations

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Stoneridge President of Brazil Operations, Caetano Roberto Ferraiolo, reported significant insider transactions on June 20, 2025:

  • Exercised 14,551 phantom shares that were converted to common shares and immediately disposed of
  • Sold all 14,551 acquired common shares at $5.61 per share
  • Following these transactions, directly owns 9,372 common shares
  • Maintains 26,705 share units under the company's Long-Term Incentive Plan, which vest on the third anniversary of their respective grant dates

The phantom shares were settled in cash, equivalent to one common share each. The transactions were executed under standard SEC regulations and reported via Form 4. The filing was signed by Robert M. Loesch under power of attorney on June 24, 2025.

Positive

  • None.

Negative

  • None.
Insider Ferraiolo Caetano Roberto
Role President Stoneridge Brazil
Type Security Shares Price Value
Exercise Phantom Shares 14,551 $0.00 --
Exercise Common Shares, without par value 14,551 $0.00 --
Disposition Common Shares, without par value 14,551 $5.61 $82K
holding Share Units -- -- --
Holdings After Transaction: Phantom Shares — 0 shares (Direct); Common Shares, without par value — 23,923 shares (Direct); Share Units — 26,705 shares (Direct)
Footnotes (1)
  1. Each Phantom Share was the economic equivalent of one Common Share and was paid in cash. Share Units granted to the Reporting Person pursuant to the Company's Long-Term Incentive Plan payable on a one-for-one basis in Company common shares if the Reporting Person remains employed on the third anniversary of the various grant dates.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Ferraiolo Caetano Roberto
(Last) (First) (Middle)
C/O STONERIDGE, INC.
39675 MACKENZIE DRIVE, SUITE 400
(Street)
NOVI MI 48377
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
STONERIDGE INC [ SRI ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
President Stoneridge Brazil
3. Date of Earliest Transaction (Month/Day/Year)
06/20/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Shares, without par value 06/20/2025 M 14,551 A (1) 23,923 D
Common Shares, without par value 06/20/2025 D 14,551 D $5.61 9,372 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 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: 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
Phantom Shares (1) 06/20/2025 M 14,551 06/20/2025 06/20/2025 Common Shares, without par value 14,551 (1) 0 D
Share Units (2) (2) (2) Common Shares, without par value 26,705 26,705 D
Explanation of Responses:
1. Each Phantom Share was the economic equivalent of one Common Share and was paid in cash.
2. Share Units granted to the Reporting Person pursuant to the Company's Long-Term Incentive Plan payable on a one-for-one basis in Company common shares if the Reporting Person remains employed on the third anniversary of the various grant dates.
Remarks:
/s/ Robert M. Loesch, by power of attorney 06/24/2025
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.

Source: View Original Filing on SEC EDGAR

FAQ

What insider trading activity occurred at SRI (Stoneridge) on June 20, 2025?

On June 20, 2025, Caetano Roberto Ferraiolo, President of Stoneridge Brazil, exercised 14,551 phantom shares and subsequently sold 14,551 common shares at a price of $5.61 per share. After these transactions, he directly owned 9,372 common shares.

How many SRI shares does Caetano Ferraiolo own after the June 2025 transactions?

Following the reported transactions, Caetano Ferraiolo directly owns 9,372 common shares of Stoneridge (SRI). Additionally, he holds 26,705 share units under the Company's Long-Term Incentive Plan that will convert to common shares if he remains employed through the third anniversary of their grant dates.

What was the sale price of SRI shares in the Form 4 filing dated June 28, 2025?

According to the Form 4 filing, the SRI shares were sold at a price of $5.61 per share on June 20, 2025.

What type of equity awards does Stoneridge (SRI) grant to its executives?

Based on the Form 4 filing, Stoneridge (SRI) grants phantom shares and share units to executives through its Long-Term Incentive Plan. The phantom shares are paid in cash, while share units convert to common shares on a one-for-one basis if the executive remains employed through the third anniversary of the grant date.