SEC Form 4/A · accession 0001209191-19-019244
RB GLOBAL INC. · RBA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Karl William Werner
Officer — Ch. Op. & Supp. Dev. Officer
Period of report
Mar 1, 2019
Accepted (ET)
Mar 13, 2019 · 7:15 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 1, 2019 | M | 11,222 | $0.00 | A | 11,222 | D | |
| Common SharesF1 | Mar 1, 2019 | M | 716 | $0.00 | A | 11,938 | D | |
| Common Shares | holding | — | — | — | 3,806 | I | Employee Stock Purchase Plan | |
| Common Shares | holding | — | — | — | 27,896 | I | Long-Term Investment Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance Share Units (2016 PSUs)F2 | — | Mar 1, 2019 | A | 8,271 | A | Mar 1, 2019 | Mar 1, 2019 | Common Shares | 8,271 | 11,222 | D |
| Dividend Equivalent Rights (2016 PSUs)F2 | — | Mar 1, 2019 | A | 486 | A | Mar 1, 2019 | Mar 1, 2019 | Common Shares | 486 | 716 | D |
| Performance Share Units (2016 PSUs)F2 | — | Mar 1, 2019 | M | 11,222 | D | Mar 1, 2019 | Mar 1, 2019 | Common Shares | 11,222 | 0 | D |
| Dividend Equivalent Rights (2016 PSUs)F2 | — | Mar 1, 2019 | M | 716 | D | Mar 1, 2019 | Mar 1, 2019 | Common Shares | 716 | 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 DER represented a contingent right to receive one RBA common share or the economic equivalent thereof. The PSUs and DERs vested on March 1, 2019, the same date on which the Compensation Committee determined that certain of such PSUs and DERs were eligible for vesting because certain performance criteria were satisfied. As determined by the Compensation Committee, the PSUs and DERs will be settled in common shares issued to the reporting person, net of applicable tax, as soon as practicable.