SEC Form 4 · accession 0001140361-15-000971
DOUGLAS DYNAMICS, INC · PLOW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Adamson
Officer — SVP, Sales and Marketing
Period of report
Jan 5, 2015
Accepted (ET)
Jan 7, 2015 · 3:36 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001287213
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Jan 5, 2015 | S | 1,491 | $21.144 | D | 36,926 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock option (right to buy)F3 | $4.21 | holding | — | — | — | — | Aug 27, 2017 | Common Stock | 26,350 | 26,350 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- F2The price in Column 4 is a weighted average price. The prices actually received ranged from $21.10 to $21.23. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing an average weighted price.
- F3The option became fully exercisable on an accelerated basis on May 20, 2011.