SEC Form 4 · accession 0001171000-16-000143
ERICKSON INC. · EAC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Robert M Lewis
Officer — VP, Commercial Aviation · 10% Owner
Period of report
Apr 22, 2016
Accepted (ET)
Apr 26, 2016 · 8:50 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001490165
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightF1,F3 | — | Apr 22, 2016 | A | 52,000 | A | — | Apr 22, 2026 | Common Stock | 52,000 | 52,000 | D |
| Stock Option (Right to Buy)F2,F3 | — | Apr 22, 2016 | A | 17,500 | A | — | Apr 22, 2026 | Common Stock | 17,500 | 17,500 | D |
Explanation of responses
- F1The reporting person received a Stock Appreciation Rights Award (SAR) granted under the Company's 2012 Long-Term Incentive Plan. One-third (1/3) of such SAR shall have an exercise price of $1.54, One-third (1/3) of such SAR shall have an exercise price of $4.04, and One-third (1/3) of such SAR shall have an exercise price of $6.54.
- F2The reporting person received a Nonqualified Stock Option granted under the Company's 2012 Long-Term Incentive Plan. One-third (1/3) of such stock option shall have an exercise price of $1.54, One-third (1/3) of such stock option shall have an exercise price of $4.04, and One-third (1/3) of such stock option shall have an exercise price of $6.54.
- F3These SAR and stock options shall vest as to 20% on each of April 22, 2017, April 22, 2018, April 22, 2019, April 22, 2020, and April 22, 2021, subject to the reporting person's continuous service to the issuer through each such date.