SEC Form 4 · accession 0001140361-18-013908
Evoqua Water Technologies Corp. · AQUA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Malcolm Kinnaird
Officer — Executive Vice President
Period of report
Mar 14, 2018
Accepted (ET)
Mar 16, 2018 · 5:34 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 | 178,500 | $4.64 | A | 300,526 | D | |
| Common StockF1 | Mar 14, 2018 | F | 92,714 | $23.40 | D | 207,812 | 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 | 178,500 | D | — | Mar 6, 2024 | Common Stock | 178,500 | 375,641 | D |
Explanation of responses
- F1This amount includes 47,893 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 fully vested.