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Employer</i></p></td></tr><tr><td style="vertical-align:top;width:33.4%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;text-align:center;margin:0pt;"><i style="font-style:italic;">of Incorporation)</i></p></td><td style="vertical-align:top;width:33.32%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;text-align:center;margin:0pt;"><i style="font-style:italic;">File Number)</i></p></td><td style="vertical-align:top;width:33.26%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;text-align:center;margin:0pt;"><i style="font-style:italic;">Identification No.)</i></p></td></tr></table><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;"><span style="text-decoration:underline;visibility:hidden;">&#8203;</span></p><p 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style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;"><ix:nonNumeric contextRef="Duration_10_30_2020_To_10_30_2020_OVL4cgHpAUilUvSWzkop1Q" format="ixt:booleanfalse" name="dei:PreCommencementTenderOffer" id="Tc_xKBxHK3230-KLni7Cxr8EQ_0_0"><span style="font-family:'Segoe UI Symbol';">&#9744;</span></ix:nonNumeric></p></div></div></td><td style="vertical-align:top;width:92.97%;margin:0pt;padding:0pt;"><div style="height:12.4pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;">Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</p></div></div></td></tr></table><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;"><span style="font-size:8pt;visibility:hidden;">&#8203;</span></p><a id="hangingindent"></a><a id="list"></a><a 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style="vertical-align:top;width:7.02%;margin:0pt;padding:0pt;"><div style="height:12.4pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;"><ix:nonNumeric contextRef="Duration_10_30_2020_To_10_30_2020_OVL4cgHpAUilUvSWzkop1Q" format="ixt:booleanfalse" name="dei:PreCommencementIssuerTenderOffer" id="Tc_eoht8hr2k0eIunfbU76H7w_1_0"><span style="font-family:'Segoe UI Symbol';">&#9744;</span></ix:nonNumeric></p></div></div></td><td style="vertical-align:top;width:92.97%;margin:0pt;padding:0pt;"><div style="height:12.4pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;text-align:justify;margin:0pt;">Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</p></div></div></td></tr></table><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;text-align:center;margin:0pt;">Securities registered pursuant to Section 12(b) of the Act:</p><a id="_a15d9839_b324_4dd1_a084_88ab79d1e671"></a><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><a id="Tc_LytRDC37yUySnyQCASFOUQ_0_0"></a><a id="Tc_tZgH0LBLNk2PjCyvKPNzLA_0_2"></a><a id="Tc_LwhbBZVkyEek3zUT0VeHiA_0_4"></a><a id="_a042efe5_0f20_4d41_ad21_672e07fbf39c"></a><a id="_0661483d_a0ee_4fbc_a092_0ee8a0f02f90"></a><a id="_f3d34ad8_b430_4e8c_b559_eb3ebc4d0b8b"></a><a id="Tc_HWBx-wCSNEqcIJ3yu2Cwcg_1_0"></a><a id="Tc_gP1IVcepPE2z95w3UijrXA_1_2"></a><a id="Tc_2K9NqiKMlE2nL9LLN2mCVg_1_4"></a><table style="border-collapse:collapse;font-size:16pt;height:max-content;margin-left:auto;margin-right:auto;table-layout:auto;width:100%;"><tr><td style="vertical-align:top;width:32.44%;border-bottom:1px solid #000000;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:9pt;text-align:center;margin:3pt 0pt 3pt 0pt;">Title of each class</p></td><td style="vertical-align:top;width:2.34%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;text-align:center;margin:3pt 0pt 3pt 0pt;"><span style="font-size:9pt;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:16.92%;border-bottom:1px solid #000000;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:9pt;text-align:center;margin:3pt 0pt 3pt 0pt;">Trading Symbol(s)</p></td><td style="vertical-align:top;width:2.34%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;text-align:center;margin:3pt 0pt 3pt 0pt;"><span style="font-size:9pt;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:45.95%;border-bottom:1px solid #000000;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:9pt;text-align:center;margin:3pt 0pt 3pt 0pt;">Name of each exchange on which registered</p></td></tr><tr><td style="vertical-align:top;width:32.44%;border-top:1px solid #000000;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:9pt;text-align:center;margin:3pt 0pt 3pt 0pt;"><b style="font-weight:bold;">Common Shares, without par value</b></p></td><td style="vertical-align:top;width:2.34%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;text-align:center;margin:3pt 0pt 3pt 0pt;"><span style="font-size:9pt;font-weight:bold;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:16.92%;border-top:1px solid #000000;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:9pt;text-align:center;margin:3pt 0pt 3pt 0pt;"><b style="font-weight:bold;">SRI</b></p></td><td style="vertical-align:top;width:2.34%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;text-align:center;margin:3pt 0pt 3pt 0pt;"><span style="font-size:9pt;font-weight:bold;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:45.95%;border-top:1px solid #000000;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:9pt;text-align:center;margin:3pt 0pt 3pt 0pt;"><b style="font-weight:bold;">New York Stock Exchange</b></p></td></tr></table><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (&#167;230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (&#167;240.12b-2 of this chapter).</p><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;text-align:right;margin:0pt 0pt 0pt 216pt;"><span style="white-space:pre-wrap;">Emerging growth company   </span><ix:nonNumeric contextRef="Duration_10_30_2020_To_10_30_2020_OVL4cgHpAUilUvSWzkop1Q" format="ixt-sec:boolballotbox" name="dei:EntityEmergingGrowthCompany" id="Narr_FnVVK7kMm0yfTvE1ZIdS3g"><span style="font-family:'Segoe UI Symbol';">&#9744;</span></ix:nonNumeric></p><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><a id="_aff9527c_b31e_472c_94b4_ff5316a4f00a"></a><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;"><span style="white-space:pre-wrap;">If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.  </span><span style="font-family:'Segoe UI Symbol';">&#9744;</span></p><div style="padding-bottom:1.0px;border-bottom:3.0pt solid #000000;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;padding-bottom:1pt;border-bottom:1.0pt solid #000000;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></div><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></div><div style="clear:both;margin-bottom:30pt;width:100%;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></div></div>
<div style="background-color:#000000;clear:both;height:2pt;page-break-after:always;width:82.35%;border:0;margin:30pt 8.82% 30pt 8.82%;"></div><div style="max-width:100%;padding-left:8.82%;padding-right:8.82%;position:relative;"><div style="margin-top:30pt;width:100%;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></div><div style="clear:both;max-width:100%;position:relative;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;"><span style="display:inline-block;text-indent:0pt;width:72pt;"><b style="color:#000000;font-family:'Arial','Helvetica','sans-serif';font-size:10pt;font-style:normal;font-weight:bold;text-align:left;">Item 8.01 </b></span><b style="font-weight:bold;">Other Events</b></p><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;"><span style="white-space:pre-wrap;">In accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the &#8220;Exchange Act&#8221;) and during Stoneridge, Inc.&#8217;s (the &#8220;Company&#8221;) open trading window under the Company&#8217;s Insider Trading Policy, on November 3, 2020, Jon DeGaynor, president and chief executive officer of the Company, entered into a written trading plan (the &#8220;Plan&#8221;) with a broker to manage the sale of up to 30,000 common shares of the Company.  The common shares will be sold under the Plan on the open market according to the parameters set forth under the Plan.  The Plan will expire on March 31, 2021 or the date all 30,000 common share are sold unless renewed, extended, or terminated earlier by Mr. DeGaynor.  The purpose of the Plan is to provide individual asset diversification to Mr. DeGaynor.  The transactions executed in accordance with the Plan will be disclosed publicly through one or more Form 4 filings with the Securities and Exchange Commission (&#8220;SEC&#8221;).  In addition to his entry into the Plan, as part of his individual investment diversification objective, on October 30 and November 2, 2020, Mr. DeGaynor sold a total of 10,000 Company common shares on the open market.  A Form 4 with respect to these transactions will be timely filed with the SEC.</span></p><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;"><span style="font-weight:bold;visibility:hidden;">&#8203;</span></p></div><div style="clear:both;margin-bottom:30pt;width:100%;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></div></div>
<div style="background-color:#000000;clear:both;height:2pt;page-break-after:always;width:82.35%;border:0;margin:30pt 8.82% 30pt 8.82%;"></div><div style="max-width:100%;padding-left:8.82%;padding-right:8.82%;position:relative;"><div style="margin-top:30pt;width:100%;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></div><div style="clear:both;max-width:100%;position:relative;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;text-align:center;margin:0pt;"><b style="font-weight:bold;">SIGNATURES</b></p><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;text-align:center;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.</p><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><a id="_b0fa23f8_0f30_4272_9b3b_13f7b39787ad"></a><a id="_4a913420_77b1_4d35_b1a4_2f41745aea5a"></a><table style="border-collapse:collapse;font-size:16pt;height:max-content;padding-left:0pt;width:92.85%;"><tr style="height:1pt;"><td style="vertical-align:top;width:27%;margin:0pt;padding:0pt 5.4pt 0pt 0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td><td style="vertical-align:top;width:11.79%;margin:0pt;padding:0pt 5.4pt 0pt 0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td><td style="vertical-align:top;width:61.19%;margin:0pt;padding:0pt 5.4pt 0pt 0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"></div></div></td></tr><tr style="height:14.4pt;"><td style="vertical-align:top;width:27%;margin:0pt;padding:0pt 5.4pt 0pt 0pt;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:11.79%;margin:0pt;padding:0pt 5.4pt 0pt 0pt;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:61.19%;margin:0pt;padding:0pt 5.4pt 0pt 0pt;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;"><b style="font-weight:bold;">Stoneridge, Inc.</b></p></td></tr><tr><td style="vertical-align:top;width:27%;margin:0pt;padding:0pt 5.4pt 0pt 0pt;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:11.79%;margin:0pt;padding:0pt 5.4pt 0pt 0pt;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:61.19%;margin:0pt;padding:0pt 5.4pt 0pt 0pt;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td></tr><tr><td style="vertical-align:top;width:27%;margin:0pt;padding:0pt 5.4pt 0pt 0pt;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;">Date: November 3, 2020</p></td><td style="vertical-align:top;width:11.79%;margin:0pt;padding:0pt 5.4pt 0pt 0pt;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:61.19%;border-bottom:1px solid #000000;margin:0pt;padding:0pt 5.4pt 0pt 0pt;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;">/s/ Robert R. Krakowiak</p></td></tr><tr style="height:35.05pt;"><td style="vertical-align:top;width:27%;margin:0pt;padding:0pt 5.4pt 0pt 0pt;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:11.79%;margin:0pt;padding:0pt 5.4pt 0pt 0pt;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:61.19%;border-top:1px solid #000000;margin:0pt;padding:0pt 5.4pt 0pt 0pt;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;">Robert R. Krakowiak, Executive Vice President, </p><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;">Chief Financial Officer and Treasurer </p><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;">(Principal Financial Officer)</p></td></tr></table><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></div><div style="clear:both;margin-bottom:30pt;width:100%;"><p style="font-family:'Arial','Helvetica','sans-serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></div></div>
<div style="background-color:#000000;clear:both;height:2pt;margin-left:8.82%;margin-right:8.82%;margin-top:30pt;page-break-after:avoid;width:82.35%;border:0;"></div></body></html>
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Part I — Financial Information
​
​
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
​
FORM
8-K
​
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
​
Date of Report (Date of earliest event reported):
October 30, 2020
​
STONERIDGE, INC.
(Exact Name of Registrant as Specified in its Charter)
​
​
​
​
Ohio
001-13337
34-1598949
(State or Other Jurisdiction
(Commission
(I.R.S. Employer
of Incorporation)
File Number)
Identification No.)
​
39675 MacKenzie Drive
,
Suite 400
,
Novi
,
Michigan
48377
(Address of principal executive offices, and Zip Code)
​
(
248
)
489-9300
Registrant's Telephone Number, Including Area Code
​
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
​
☐
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
​
☐
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
​
☐
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
​
☐
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
​
Securities registered pursuant to Section 12(b) of the Act:
​
Title of each class
​
Trading Symbol(s)
​
Name of each exchange on which registered
Common Shares, without par value
​
SRI
​
New York Stock Exchange
​
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company
☐
​
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.
☐
​
​
​
​
Item 8.01
Other Events
​
In accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act") and during Stoneridge, Inc.'s (the "Company") open trading window under the Company's Insider Trading Policy, on November 3, 2020, Jon DeGaynor, president and chief executive officer of the Company, entered into a written trading plan (the "Plan") with a broker to manage the sale of up to 30,000 common shares of the Company.  The common shares will be sold under the Plan on the open market according to the parameters set forth under the Plan.  The Plan will expire on March 31, 2021 or the date all 30,000 common share are sold unless renewed, extended, or terminated earlier by Mr. DeGaynor.  The purpose of the Plan is to provide individual asset diversification to Mr. DeGaynor.  The transactions executed in accordance with the Plan will be disclosed publicly through one or more Form 4 filings with the Securities and Exchange Commission ("SEC").  In addition to his entry into the Plan, as part of his individual investment diversification objective, on October 30 and November 2, 2020, Mr. DeGaynor sold a total of 10,000 Company common shares on the open market.  A Form 4 with respect to these transactions will be timely filed with the SEC.
​
​
​
SIGNATURES
​
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
​
​
​
​
​
Stoneridge, Inc.
​
​
​
Date: November 3, 2020
​
/s/ Robert R. Krakowiak
​
​
Robert R. Krakowiak, Executive Vice President,
Chief Financial Officer and Treasurer
(Principal Financial Officer)
​
​
​
​