SEC Form 4 · accession 0001140361-18-014520
Evoqua Water Technologies Corp. · AQUA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Benedict J. Stas
Officer — EVP, CFO & Treasurer
Period of report
Mar 19, 2018
Accepted (ET)
Mar 21, 2018 · 6:22 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 StockF2,F3,F4 | Mar 19, 2018 | S | 86,950 | $21.285 | D | 219,060 | D | |
| Common StockF2,F3,F4 | Mar 21, 2018 | S | 13,043 | $21.285 | D | 206,017 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This sale of shares of the issuer's common stock was matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 2,000 shares, with the purchase by the reporting person of 2,000 shares of the issuer's common stock at a price of $18.00 per share on November 6, 2017 as part of a directed share program in connection with the issuer's initial public offering. The reporting person has agreed to pay to the issuer $6,570.00, representing the full amount of the profit realized in connection with the short-swing transaction, less the underwriting discount of $0.715 per share.
- F2These shares of common stock were sold pursuant to the Underwriting Agreement dated March 14, 2018.
- F3This amount represents the $22.00 public offering price per share of the issuer's common stock less the underwriting discount of $0.715 per share.
- F4This amount includes 203,545 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.