SEC Form 4 · accession 0001179110-17-013585
COMFORT SYSTEMS USA INC · FIX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Julie Shaeff
Officer — Chief Accounting Officer
Period of report
Oct 30, 2017
Accepted (ET)
Oct 31, 2017 · 4:35 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001035983
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 30, 2017 | M | 1,001 | $13.15 | A | 35,472 | D | |
| Common Stock | Oct 30, 2017 | M | 1,800 | $11.00 | A | 37,272 | D | |
| Common Stock | Oct 30, 2017 | M | 1,800 | $12.46 | A | 39,072 | D | |
| Common Stock | Oct 30, 2017 | M | 1,600 | $13.87 | A | 40,672 | D | |
| Common Stock | Oct 30, 2017 | M | 2,000 | $13.86 | A | 42,672 | D | |
| Common Stock | Oct 30, 2017 | M | 2,000 | $16.15 | A | 44,672 | D | |
| Common Stock | Oct 30, 2017 | M | 1,500 | $19.67 | A | 46,172 | D | |
| Common StockF1 | Oct 30, 2017 | S | 11,701 | $42.54 | D | 34,471 | D | |
| Common StockF1 | Oct 31, 2017 | S | 944 | $42.96 | D | 33,527 | D | |
| Common StockF1 | Oct 31, 2017 | S | 3,260 | $42.95 | D | 30,267 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to BuyF2 | $13.15 | Oct 30, 2017 | M | 1,001 | D | Apr 1, 2011 | Mar 26, 2018 | Common Stock | 1,001 | 0 | D |
| Option to BuyF3 | $11.00 | Oct 30, 2017 | M | 1,800 | D | Apr 1, 2012 | Mar 26, 2019 | Common Stock | 1,800 | 1,008 | D |
| Option to BuyF4 | $12.46 | Oct 30, 2017 | M | 1,800 | D | Apr 1, 2013 | Mar 25, 2020 | Common Stock | 1,800 | 1,799 | D |
| Option to BuyF5 | $13.87 | Oct 30, 2017 | M | 1,600 | D | Apr 1, 2014 | Mar 24, 2021 | Common Stock | 1,600 | 1,666 | D |
| Option to BuyF6 | $13.86 | Oct 30, 2017 | M | 2,000 | D | Apr 1, 2016 | Mar 20, 2023 | Common Stock | 2,000 | 4,674 | D |
| Common StockF7 | $16.15 | Oct 30, 2017 | M | 2,000 | D | Apr 1, 2017 | Mar 19, 2024 | Common Stock | 2,000 | 5,567 | D |
| Common StockF8 | $19.67 | Oct 30, 2017 | M | 1,500 | D | Apr 1, 2017 | Mar 25, 2025 | Common Stock | 1,500 | 3,519 | D |
Explanation of responses
- F1Represents the average price of shares sold; full information regarding the number of shares sold and specific prices will be made available upon request to the Company's Office of the General Counsel.
- F2Stock options were granted on 3/26/2008, vested equally over a three-year period, and were fully vested on 4/1/2011.
- F3Stock options were granted on 3/26/2009, vested equally over a three-year period, and were fully vested on 4/1/2012.
- F4Stock options were granted on 3/25/2010, vested equally over a three-year period, and were fully vested on 4/1/2013.
- F5Stock options were granted on 3/24/2011, vested equally over a three-year period, and were fully vested on 4/1/2014.
- F6Stock options were granted on 3/20/2013, vested equally over a three-year period, and were fully vested on 4/1/2016.
- F7Stock options were granted on 3/19/2014, vested equally over a three-year period, and were fully vested on 4/1/2017.
- F8Stock options were granted on 3/25/2015, will vest equally over a three-year period, were vested as to two-thirds of the total number of options granted on 4/1/2017, and will be fully vested on 4/1/2018.