SEC Form 4 · accession 0001140361-17-041181
Evoqua Water Technologies Corp. · AQUA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James M. Kohosek
Officer — EVP, Corporate Strategy
Period of report
Nov 2, 2017
Accepted (ET)
Nov 6, 2017 · 9:14 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001604643
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 2, 2017 | A | 23,947 | $0.00 | A | 57,644 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reported transaction is an award of restricted stock units in respect of the issuer's common stock. These restricted stock units will vest and settle in full on November 1, 2019 (the "Vesting Date"), subject to the reporting person's continued employment with the issuer or any of its subsidiaries through the Vesting Date; provided, however, that if the reporting person's employment with the issuer or any of its subsidiaries is terminated without cause (as defined in the award agreement) prior to the Vesting Date, these restricted stock units will remain outstanding and eligible to vest and settle on the Vesting Date. Notwithstanding the foregoing, upon a Change in Control (as defined in the Evoqua Water Technologies Corp. Stock Option Plan) prior to the Vesting Date, these restricted stock units will vest and settle in full, subject to the reporting person's continued employment with the issuer or any of its subsidiaries through the date of the Change in Control.