SEC Form 4 · accession 0001140361-17-041653
Evoqua Water Technologies Corp. · AQUA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rodney Aulick
Officer — Executive Vice President
Period of report
Nov 6, 2017
Accepted (ET)
Nov 8, 2017 · 8:06 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 StockF1,F2 | Nov 6, 2017 | P | 1,000 | $18.00 | A | 142,171 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person purchased these shares in connection with the closing of the initial public offering of the issuer (the "IPO") at the IPO price of $18.00 per share pursuant to the directed share program described in the issuer's registration statement. The shares are subject to a lock-up provision for a period of 180 days, as required under a lock-up agreement with the underwriters of the IPO.
- F2This amount includes 95,786 unvested restricted stock units in respect of the issuer's common stock. These restricted stock units are scheduled to vest as described in the Form 4 filed by the reporting person on November 6, 2017.