SEC Form 4 · accession 0001567619-19-004904
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
Feb 14, 2019
Accepted (ET)
Feb 19, 2019 · 5:33 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 StockF2 | Feb 14, 2019 | A | 15,785 | $0.00 | A | 157,956 | 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)F3 | $12.67 | Feb 14, 2019 | A | 51,948 | A | — | Feb 14, 2029 | Common Stock | 51,948 | 51,948 | D |
Explanation of responses
- F1The reported transaction is an award of restricted stock units in respect of the issuer's common stock. Subject to the reporting person's continued employment with the issuer through the applicable vesting date, these restricted stock units are scheduled to vest in equal installments on each of January 1, 2020, January 1, 2021, January 1, 2022 and January 1, 2023 and settle within 30 days of the applicable vesting date.
- F2This amount includes 111,571 unvested restricted stock units in respect of the issuer's common stock. Of these restricted stock units, 15,785 are scheduled to vest as described in footnote 1 to this Form 4 and 95,786 are scheduled to vest as described in the Form 4 filed by the reporting person on November 6, 2017.
- F3Subject to the reporting person's continued employment with the issuer through the applicable vesting date, this option is scheduled to vest in equal installments on each of January 1, 2020, January 1, 2021, January 1, 2022 and January 1, 2023.