SEC Form 4 · accession 0001209191-15-070293
METALICO INC · MEA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin Whalen
Officer — SVP & CFO
Period of report
Sep 11, 2015
Accepted (ET)
Sep 11, 2015 · 12:17 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001048685
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Sep 11, 2015 | S | 32,239 | $0.60 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Rights to Deferred StockF2,F3 | $0.00 | Sep 11, 2015 | S | 3,500 | D | Sep 11, 2015 | Sep 11, 2015 | Common Stock | 3,500 | 0 | D |
Explanation of responses
- F1Includes 3,577 shares beneficially owned by Reporting Person's children and 200 shares beneficially owned by Reporting Person's wife.
- F2All equity interests sold in accordance with the Agreement and Plan of Merger dated as of June 15, 2015, by and among Total Merchant Limited, TM Merger Sub Corp. and the Issuer, as amended (the "Merger Agreement").
- F3Options at various exercise prices held by the Reporting Person terminated upon consummation of the merger contemplated under the Merger Agreement described in fn 1.