SEC Form 4/A · accession 0001401257-17-000004
FORUM ENERGY TECHNOLOGIES, INC. · FET
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
James Whelan Harris
Officer — EVP & CFO
Period of report
Jan 4, 2017
Accepted (ET)
Jan 6, 2017 · 7:57 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001401257
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 4, 2017 | M | 9,716 | $7.68 | A | 302,738 | D | |
| Common StockF1 | Jan 5, 2017 | M | 10,284 | $7.68 | A | 303,306 | D | |
| Common StockF1 | Jan 5, 2017 | S | 10,284 | $24.00 | D | 293,022 | 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)F2 | $7.68 | Jan 4, 2017 | M | 9,716 | D | — | Aug 1, 2020 | Common Stock | 9,716 | 182,284 | D |
| Employee Stock Option (Right to Buy)F2 | $7.68 | Jan 4, 2017 | M | 10,284 | D | — | Aug 1, 2020 | Common Stock | 10,284 | 172,000 | D |
Explanation of responses
- F1This Form 4/A is filed to reflect that the sales of common stock disclosed by the Reporting Person on January 5, 2017 were by way of broker assisted cashless exercises of options and to correct the transaction date of the Reporting Person's sale of 10,284 shares of common stock (occurred one day later than previously reported).
- F2172,000 options, granted under the Forum Energy Technologies, Inc. 2010 Stock Incentive Plan, are currently exercisable.