SEC Form 4 · accession 0001644999-16-000039
Babcock & Wilcox Enterprises, Inc. · BW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jenny L Apker
Officer — Senior Vice President and CFO
Period of report
Mar 2, 2016
Accepted (ET)
Mar 4, 2016 · 2:36 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001630805
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 2, 2016 | M | 1,374 | $0.00 | A | 13,692 | D | |
| Common Stock | Mar 2, 2016 | F | 529 | $18.98 | D | 13,163 | D | |
| Common Stock | Mar 3, 2016 | M | 292 | $0.00 | A | 13,455 | D | |
| Common Stock | Mar 3, 2016 | F | 112 | $19.24 | D | 13,343 | D | |
| Common StockF1 | holding | — | — | — | 511 | I | 401k Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2 | $0.00 | Mar 2, 2016 | M | 1,374 | D | — | Mar 2, 2018 | Common Stock | 1,374 | 2,749 | D |
| Restricted Stock UnitsF3 | $0.00 | Mar 3, 2016 | M | 292 | D | — | Mar 3, 2017 | Common Stock | 292 | 291 | D |
Explanation of responses
- F1Based on number of units held in the BW Thrift Plan and the fair market value of BW common stock as of March 2, 2016.
- F2RSUs vest in three equal annual installments beginning March 2, 2016.
- F3RSUs vest in two annual installments beginning March 3, 2016.