SEC Form 4 · accession 0001443646-17-000054
Booz Allen Hamilton Holding Corp · BAH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lloyd Howell Jr.
Officer — EVP, CFO and Treasurer
Period of report
May 19, 2017
Accepted (ET)
May 23, 2017 · 8:36 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001443646
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1,F2 | May 19, 2017 | A | 9,735 | $0.00 | A | 328,599 | D | |
| Class A Common StockF3,F2 | May 22, 2017 | M | 24,140 | $4.28 | A | 352,739 | D | |
| Class A Common StockF4,F5,F2 | May 22, 2017 | S | 24,140 | $38.5057 | D | 328,599 | D | |
| Class A Common StockF6 | holding | — | — | — | 36,990 | I | By Trust |
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)F7 | $35.95 | May 19, 2017 | A | 52,761 | A | — | May 19, 2027 | Class A Common Stock | 52,761 | 52,761 | D |
| Employee Stock Option (right to buy)F8 | $4.28 | May 22, 2017 | M | 24,140 | D | — | Nov 19, 2018 | Class A Common Stock | 24,140 | 0 | D |
Explanation of responses
- F1Grant of restricted stock units under the Issuer's Second Amended and Restated Equity Incentive Plan exempt under Rule 16b-3. Each restricted stock unit represents a contingent right to receive one share of the Issuer's Class A common stock upon vesting. One-third of these restricted stock units are scheduled to vest on each of March 31, 2018, 2019 and 2020, subject to the Reporting Person's continued employment and the Issuer's achievement of at least $1.00 in net income in the fiscal year ending on the vesting date or any prior fiscal year during the vesting period.
- F2Includes shares of Class A restricted common stock and restricted stock units.
- F3The exercise of options reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2016.
- F4The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2016.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.50 to $38.59, inclusive. The Reporting Person undertakes to provide to Booz Allen Hamilton Holding Corporation, any of its security holders, or the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F6Shares held by Lloyd W. Howell, Jr. Trust.
- F7The options vest and become exercisable, subject to the Reporting Person's continued employment, ratably on March 31, 2018, 2019, 2020, 2021 and 2022. These options fully vest and become exercisable immediately prior to the effective date of certain change in control events.
- F8All options are currently vested. Options vested and became exercisable ratably on June 30, 2009, 2010, 2011, 2012 and 2013, subject to the Reporting Person's continued employment.