SEC Form 4 · accession 0001032220-17-000057
MAXIMUS INC · MMS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bruce Caswell
Officer — President
Period of report
May 23, 2017
Accepted (ET)
May 24, 2017 · 11:47 am 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 | May 23, 2017 | M | 8,000 | $11.55 | A | 35,904 | D | |
| Common StockF2 | May 23, 2017 | S | 8,000 | $62.76 | D | 27,904 | 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,F3 | $11.55 | May 23, 2017 | M | 8,000 | D | — | — | Common Stock | 8,000 | 64,000 | D |
Explanation of responses
- F1These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 16, 2017.
- F2Weighted average sales price for prices ranging from $62.60 to $63.28. 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.
- F3These options were part of an award made on 10/18/2007 which vested on 10/18/2008, 10/18/2009, 10/18/2010, 10/18/2011 and 10/18/2012. The options were schedule to expire on 10/18/2017.