SEC Form 4 · accession 0001032220-15-000072
MAXIMUS INC · MMS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bruce Caswell
Officer — President
Period of report
Aug 11, 2015
Accepted (ET)
Aug 13, 2015 · 4:36 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001032220
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 11, 2015 | M | 7,000 | $8.682 | A | 39,189 | D | |
| Common StockF2 | Aug 11, 2015 | S | 7,000 | $59.98 | D | 32,189 | D | |
| Common StockF1 | Aug 12, 2015 | M | 7,000 | $8.682 | A | 39,189 | D | |
| Common StockF3 | Aug 12, 2015 | S | 7,000 | $59.55 | D | 32,189 | D | |
| Common StockF1 | Aug 13, 2015 | M | 6,000 | $8.682 | A | 38,189 | D | |
| Common StockF4 | Aug 13, 2015 | S | 6,000 | $60.34 | D | 32,189 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common StockF1,F5 | $8.682 | Aug 11, 2015 | M | 7,000 | D | — | — | Common Stock | 7,000 | 13,000 | D |
| Common StockF1,F5 | $8.682 | Aug 12, 2015 | M | 7,000 | D | — | — | Common Stock | 7,000 | 6,000 | D |
| Common StockF1,F5 | $8.682 | Aug 13, 2015 | M | 6,000 | D | — | — | Common Stock | 6,000 | 0 | D |
Explanation of responses
- F1These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 17, 2015.
- F2Weighted average sales price for prices ranging from $59.00 to $60.31. The reporting person will provide full information regarding the number of shares purchased or sold at each separate price upon request by the Commission staff, the issuer, or a security holder of the issuer.
- F3Weighted average sales price for prices ranging from $58.54 to $59.79. The reporting person will provide full information regarding the number of shares purchased or sold at each separate price upon request by the Commission staff, the issuer, or a security holder of the issuer.
- F4Weighted average sales price for prices ranging from $59.86 to $60.62. The reporting person will provide full information regarding the number of shares purchased or sold at each separate price upon request by the Commission staff, the issuer, or a security holder of the issuer.
- F5These options were part of an award made on 10/18/2005 which vested on 10/18/2006, 10/18/2007, 10/18/2008, 10/18/2009 and 10/18/2010. The options were scheduled to expire on 10/18/2015