SEC Form 4 · accession 0001428875-16-000260
SERVICEMASTER GLOBAL HOLDINGS INC · SERV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James T Lucke
Officer — SVP, General Counsel & Sec.
Period of report
Nov 11, 2016
Accepted (ET)
Nov 15, 2016 · 4:57 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001428875
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 11, 2016 | M | 14,583 | — | A | 19,583 | D | |
| Common StockF2,F3 | Nov 11, 2016 | F | 6,123 | $35.401 | D | 13,460 | D | |
| Common StockF4 | Nov 11, 2016 | S | 4,230 | $36.00 | D | 9,230 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F5 | — | Nov 11, 2016 | M | 14,583 | D | — | — | Common Stock | 14,583 | 0 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one for one basis due to vesting on November 11, 2016.
- F2The reporting person is reporting the sale of shares of common stock to satisfy the reporting person's tax withholding obligations in connection with the vesting and delivery of the shares.
- F3The price in Table 1, Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.39-$35.42, inclusive. The reporting person undertakes to provide ServiceMaster, or 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 Form 4.
- F4The sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.
- F5Each unit is the economic equivalent of one share of the Company's common stock. The restricted units were granted on November 11, 2013, and vested and settled in three equal installments on the first three anniversaries of the grant date.