SEC Form 4 · accession 0001209191-17-020556
RB GLOBAL INC. · RBA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Randall James Wall
Officer — President, Canada
Period of report
Mar 10, 2017
Accepted (ET)
Mar 14, 2017 · 4:53 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001046102
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1 | Mar 10, 2017 | M | 1,797 | — | A | 1,797 | D | |
| Common SharesF1 | Mar 10, 2017 | M | 122 | — | A | 1,919 | D | |
| Common SharesF2 | Mar 10, 2017 | M | 2,331 | — | A | 4,250 | D | |
| Common SharesF2 | Mar 10, 2017 | M | 158 | — | A | 4,408 | D | |
| Common Shares | Mar 10, 2017 | D | 4,408 | $32.72 | D | 0 | D | |
| Common Shares | holding | — | — | — | 25,332 | D | ||
| Common SharesF3 | holding | — | — | — | 2,655 | I | Employee Stock Purchase Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2014 DER PSUF4,F1 | — | Mar 10, 2017 | M | 122 | D | — | — | Common Shares | 122 | 0 | D |
| 2014 PSUsF5,F1 | — | Mar 10, 2017 | M | 1,797 | D | — | — | Common Shares | 1,797 | 0 | D |
| 2014 DER RSUF6,F2 | — | Mar 10, 2017 | M | 158 | D | — | — | Common Shares | 158 | 0 | D |
| 2014 RSUF7,F2 | — | Mar 10, 2017 | M | 2,331 | D | — | — | Common Shares | 2,331 | 0 | D |
Explanation of responses
- F1Each PSU and DER represented a contingent right to receive the economic equivalent of one RBA common share. The PSUs and DERs vested on 3/10/2017. As determined by the Compensation Committee, the cash value of the common shares underlying the vested PSUs and DERs (determined in accordance with the RBA pre-2015 Performance Share Unit Plan) will be paid to the reporting person, net of applicable tax, as soon as practicable following the end of the month in which the PSUs and DERs vested
- F2Each RSU and DER represented a contingent right to receive the economic equivalent of one RBA common share. The RSUs and DERs vested on 3/10/2017. As determined by the Compensation Committee, the cash value of the common shares underlying the vested RSUs and DERs (determined in accordance with the RBA Restricted Share Unit Plan) will be paid to the reporting person, net of applicable tax, as soon as practicable following the end of the month in which the RSUs and DERs vested.
- F3Updated to include all Employee Stock Purchase Plan purchases through March 10, 2017.
- F4Dividend Equivalent Rights ("DER") for 2014 Performance Share Units
- F5Performance Share Units ("PSUs") - 2014
- F6Dividend Equivalent Rights ("DER") for 2014 Restricted Share Units
- F7Restricted Share Units ("RSUs") - 2014