SEC Form 4 · accession 0001140361-18-013907
Evoqua Water Technologies Corp. · AQUA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald C Keating
Officer — President & CEO · Director
Period of report
Mar 14, 2018
Accepted (ET)
Mar 16, 2018 · 5:33 pm EDT
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 | Mar 14, 2018 | M | 430,000 | $4.64 | A | 1,002,060 | D | |
| Common StockF1 | Mar 14, 2018 | F | 228,732 | $23.40 | D | 773,328 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $4.64 | Mar 14, 2018 | M | 430,000 | D | — | Dec 15, 2024 | Common Stock | 430,000 | 2,063,581 | D |
Explanation of responses
- F1This amount includes 431,035 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.
- F2This option is vested with respect to 1,870,185 underlying shares (including the 430,000 shares underlying the portion of the stock option being exercised) and will vest with respect to the remaining 623,396 underlying shares on December 15, 2018.