SEC Form 4/A · accession 0001671490-16-000002
ERICKSON INC. · EAC
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
Robert M Lewis
Officer — VP, Commerical Aviation
Period of report
Apr 22, 2016
Accepted (ET)
Aug 2, 2016 · 5:24 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,F2,F3 | — | Apr 22, 2016 | A | 52,000 | A | — | Apr 22, 2026 | Common Stock | 52,000 | 52,000 | D |
| Stock Option (Right to Buy)F1,F4,F3 | — | Apr 22, 2016 | A | 17,500 | A | — | Apr 22, 2026 | Common Stock | 17,500 | 17,500 | D |
Explanation of responses
- F1These amounts and transactions are the same as reported for the reporting person on the Form 4 filed on April 26, 2016. These transactions are being re-reported to gain access to the electronic filing system and the sole purpose of this amendment is to correct Box 5: the 10% Owner line was erroneously checked in the original filing.
- F2The 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.
- 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.
- F4The 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.