SEC Form 4 · accession 0001032220-16-000213
MAXIMUS INC · MMS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bruce Caswell
Officer — President
Period of report
Aug 16, 2016
Accepted (ET)
Aug 18, 2016 · 5:50 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 16, 2016 | M | 10,000 | $6.818 | A | 39,386 | D | |
| Common StockF2 | Aug 16, 2016 | S | 10,000 | $59.83 | D | 29,386 | D | |
| Common StockF1 | Aug 17, 2016 | M | 10,000 | $6.818 | A | 39,386 | D | |
| Common StockF3 | Aug 17, 2016 | S | 10,000 | $58.53 | D | 29,386 | D | |
| Common StockF1 | Aug 18, 2016 | M | 10,000 | $6.818 | A | 39,386 | D | |
| Common StockF4 | Aug 18, 2016 | S | 10,000 | $58.59 | D | 29,386 | 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 | $6.818 | Aug 16, 2016 | M | 10,000 | D | — | — | Common Stock | 10,000 | 40,000 | D |
| Common StockF1,F5 | $6.818 | Aug 17, 2016 | M | 10,000 | D | — | — | Common Stock | 10,000 | 30,000 | D |
| Common StockF1,F5 | $6.818 | Aug 18, 2016 | M | 10,000 | D | — | — | Common Stock | 10,000 | 20,000 | D |
Explanation of responses
- F1These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 20, 2016.
- F2Weighted average sales price for prices ranging from $59.421 to $59.97. 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 $58.00 to $59.14. 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 $58.41 to $58.93. 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 10/18/2007, 10/18/2008, 10/18/2009, 10/18/2010 and 10/18/2011. The options were scheduled to expire on 10/18/2016