SEC Form 4 · accession 0001225208-18-015965
Mueller Water Products, Inc. · MWA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Hassan Ali
Officer — SVP, Engineering and IT
Period of report
Nov 27, 2018
Accepted (ET)
Nov 29, 2018 · 9:22 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001350593
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1 | Nov 27, 2018 | A | 7,692 | $10.53 | A | 14,057 | D | |
| Common Stock | Nov 28, 2018 | M | 30,737 | $4.97 | A | 93,924 | D | |
| Common Stock | Nov 28, 2018 | M | 16,000 | $3.52 | A | 109,924 | D | |
| Common StockF2 | Nov 28, 2018 | F | 630 | $10.58 | D | 109,294 | D | |
| Common StockF3 | Nov 28, 2018 | S | 46,737 | $10.536 | D | 62,557 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F4 | $4.97 | Nov 28, 2018 | M | 30,737 | D | — | Oct 27, 2019 | Common Stock | 30,737 | 0 | D |
| Stock Option (Right to Buy)F4 | $3.52 | Nov 28, 2018 | M | 16,000 | D | — | Nov 30, 2020 | Common Stock | 16,000 | 0 | D |
Explanation of responses
- F1Acquisition is pursuant to grant of restricted stock units under the Mueller Water Products, Inc. Second Amended and Restated 2006 Stock Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of Mueller Water Products, Inc. Common Stock when the restrictions lapse. The lapse occurs in three (3) equal, annual installments beginning on the first anniversary of the grant date.
- F2Shares were withheld to cover the tax liability on the lapse of the restrictions on restricted stock units.
- F3The price reported in Column 4 is an average price. These shares were sold in multiple transactions at prices ranging from $10.38 to $10.64, inclusive. The reporting person undertakes to provide to Mueller Water Products, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- F4The stock options vested in three (3) equal, annual installments on the anniversary of the grant date.
Remarks
alipoa.txt