SEC Form 4 · accession 0001032220-16-000229
MAXIMUS INC · MMS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bruce Caswell
Officer — President
Period of report
Sep 20, 2016
Accepted (ET)
Sep 22, 2016 · 5:31 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 | Sep 20, 2016 | M | 7,000 | $6.818 | A | 36,386 | D | |
| Common StockF2 | Sep 20, 2016 | S | 7,000 | $56.62 | D | 29,386 | D | |
| Common StockF1 | Sep 21, 2016 | M | 7,000 | $6.818 | A | 36,386 | D | |
| Common StockF3 | Sep 21, 2016 | S | 7,000 | $56.81 | D | 29,386 | D | |
| Common StockF1 | Sep 22, 2016 | M | 6,000 | $6.818 | A | 35,386 | D | |
| Common StockF4 | Sep 22, 2016 | S | 6,000 | $57.64 | 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 | Sep 20, 2016 | M | 7,000 | D | — | — | Common Stock | 7,000 | 13,000 | D |
| Common StockF1,F5 | $6.818 | Sep 21, 2016 | M | 7,000 | D | — | — | Common Stock | 7,000 | 6,000 | D |
| Common StockF1,F5 | $6.818 | Sep 22, 2016 | 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 May 20,2016
- F2Weighted average sales price for prices ranging from $56.37 to $56.74. 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 $56.35 to $57.43. 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 $57.24 to $58.04. 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 10/18/2006 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