SEC Form 4 · accession 0001179110-19-003351
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
Mar 4, 2019
Accepted (ET)
Mar 5, 2019 · 7:19 pm EST
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 | Mar 4, 2019 | M | 999 | $12.46 | A | 30,599 | D | |
| Common Stock | Mar 4, 2019 | M | 500 | $11.21 | A | 31,099 | D | |
| Common Stock | Mar 4, 2019 | M | 1,500 | $13.86 | A | 32,599 | D | |
| Common Stock | Mar 4, 2019 | M | 1,500 | $16.15 | A | 34,099 | D | |
| Common Stock | Mar 4, 2019 | M | 1,000 | $19.67 | A | 35,099 | D | |
| Common Stock | Mar 4, 2019 | M | 1,000 | $30.36 | A | 36,099 | D | |
| Common Stock | Mar 4, 2019 | M | 1,500 | $36.25 | A | 37,599 | D | |
| Common StockF1 | Mar 4, 2019 | S | 7,999 | $53.0763 | D | 29,600 | D | |
| Common StockF1 | Mar 4, 2019 | S | 4,010 | $53.0763 | D | 25,590 | 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 | $12.46 | Mar 4, 2019 | M | 999 | D | Apr 1, 2013 | Mar 25, 2020 | Common Stock | 999 | 0 | D |
| Option to BuyF3 | $11.21 | Mar 4, 2019 | M | 500 | D | Apr 1, 2015 | Mar 26, 2022 | Common Stock | 500 | 1,019 | D |
| Option to BuyF4 | $13.86 | Mar 4, 2019 | M | 1,500 | D | Apr 1, 2016 | Mar 20, 2023 | Common Stock | 1,500 | 2,674 | D |
| Option to BuyF5 | $16.15 | Mar 4, 2019 | M | 1,500 | D | Apr 1, 2017 | Mar 19, 2024 | Common Stock | 1,500 | 3,067 | D |
| Option to BuyF6 | $19.67 | Mar 4, 2019 | M | 1,000 | D | Apr 1, 2018 | Mar 25, 2025 | Common Stock | 1,000 | 3,030 | D |
| Option to BuyF7 | $30.36 | Mar 4, 2019 | M | 1,000 | D | Apr 1, 2018 | Mar 23, 2026 | Common Stock | 1,000 | 2,964 | D |
| Option to BuyF8 | $36.25 | Mar 4, 2019 | M | 1,500 | D | Apr 1, 2018 | Mar 8, 2027 | Common Stock | 1,500 | 298 | 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 3/25/2010, vested equally over a three-year period, and were fully vested on 4/1/2013.
- F3Stock options were granted on 3/26/2012, vested equally over a three-year period, and were fully vested on 4/1/2015.
- F4Stock options were granted on 3/20/2013, vested equally over a three-year period, and were fully vested on 4/1/2016.
- F5Stock options were granted on 3/19/2014, vested equally over a three-year period, and were fully vested on 4/1/2017.
- F6Stock options were granted on 3/25/2015, vested equally over a three-year period, and were fully vested on 4/1/2018.
- F7Stock options were granted on 3/23/2016, will vest equally over a three-year period, were vested as to two-thirds of the total number of options granted on 4/1/2018, and will be fully vested on 4/1/2019.
- F8Stock options were granted on 3/8/2017, will vest equally over a three-year period, were vested as to one-third of the total number of options granted on 4/1/2018, and will be fully vested on 4/1/2020.