SEC Form 5/A · accession 0001140361-15-008108
DXP ENTERPRISES INC · DXPE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 5/A). It replaces an earlier filing for the same period.
Reporting owner
David R Little
Officer — Chairman & CEO · Director · 10% Owner
Period of report
Dec 31, 2014
Accepted (ET)
Feb 20, 2015 · 11:54 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001020710
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| DXP Common Stock | Apr 15, 2014 | G | 5,000 | $104.29 | D | 1,393,423 | D | |
| DXP Common Stock | Jul 2, 2014 | G | 2,912 | $75.40 | D | 1,390,511 | D | |
| DXP Common Stock | Dec 29, 2014 | G | 1,900 | $52.15 | D | 1,388,611 | D | |
| DXP Common Stock | holding | — | — | — | 1,398,423 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DXP Restricted Stock UnitsF1 | $0.00 | holding | — | — | — | — | — | DXP Common Stock | 4,000 | 12,000 | D |
| DXP Restricted Stock UnitsF2 | $0.00 | holding | — | — | — | — | — | DXP Common Stock | 3,832 | 3,832 | D |
| DXP Restricted Stock UnitsF3 | $0.00 | holding | — | — | — | — | — | DXP Common Stock | 3,124 | 6,247 | D |
| DXP Restricted Stock UnitsF4 | $0.00 | holding | — | — | — | — | — | DXP Common Stock | 9,000 | 9,000 | D |
Explanation of responses
- F1The terms of the grant provide for vesting in equal amounts over ten years on the anniversary date of the grant. [Grant Date October 24, 2007 - 40,000 shares]
- F2The terms of the grant provide for vesting in equal amounts over three years on the anniversary date of the grant. [Grant date March 31, 2012 - 11,496 shares]
- F3The terms of the grant provide for vesting in equal amounts over three years on the anniversary date of the grant. [Grant date March 31, 2013 - 9,371 shares]
- F4The terms of the grant provide for vesting in equal amounts over three years on the anniversary date of the grant. [Grant date March 31, 2014 - 9,000 shares]