SEC Form 4 · accession 0001209191-18-019215

RB GLOBAL INC. · RBA

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Karl William Werner

Officer — Ch. Op. & Supp. Dev. Officer

Period of report

Mar 9, 2018

Accepted (ET)

Mar 13, 2018 · 4:24 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 Shares^F1,F2	Mar 9, 2018	M	9,486	—	A	9,486	D
Common Shares^F1,F2	Mar 9, 2018	M	646	—	A	10,132	D
Common Shares	holding	—	—		—	27,896	I	Long-Term Investment Plan
Common Shares^F3	holding	—	—		—	3,147	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
Dividend Equivalent Rights (2015 PSUs)^F4	—	Mar 9, 2018	A	55	A	—	—	Common Shares	55	646	D
Dividend Equivalent Rights (2016 PSUs)^F5	—	Mar 9, 2018	A	14	A	—	—	Common Shares	14	123	D
2015 PSU^F6,F2	—	Mar 9, 2018	M	9,486	D	—	—	Common Shares	9,486	0	D
Dividend Equivalent Rights (2015 PSUs)^F4,F2	—	Mar 9, 2018	M	646	D	—	—	Common Shares	646	0	D

Explanation of responses

F1Represents pre-tax amount of award. Share issuance will be made net of tax withholding ("TW"). TW will be reported on separately within 2 business days of the TW determination date.
F2Each PSU and associated dividend equivalent right represents a contingent right to receive one RBA common share or the economic equivalent thereof. The PSUs and DERs vested on March 9, 2018. As determined by the Compensation Committee, the vested PSUs and dividend equivalent rights determined in accordance with the RBA 2015 Senior Executive Performance Share Unit Plan will be settled in common shares issued to the reporting person, net of applicable tax, as soon as practicable following the end of the month in which the PSUs and related dividend equivalent rights vested.
F3Includes all Employee Stock Purchase Plan purchases through March 9, 2018.
F4Each dividend equivalent right represents a contingent right to receive on RBA common share or the economic equivalent thereof. The dividend equivalent rights accrued in respect of the 2015 grant of performance share units, and become exercisable proportionately with the performance share units to which they relate.
F5Each dividend equivalent right represents a contingent right to receive on RBA common share or the economic equivalent thereof. The dividend equivalent rights accrued in respect of the 2016 grant of performance share units and become exercisable proportionately with the performance share units to which they relate.
F6Performance Share Units (PSUs) - 2015