SEC Form 3 · accession 0001744653-18-000003
Babcock & Wilcox Enterprises, Inc. · BW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sumeeta M. Maxwell
Officer — SVP and Chief HR Officer
Period of report
Jun 26, 2018
Accepted (ET)
Jun 26, 2018 · 6:24 pm EDT
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 | holding | — | — | — | 2,557 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (right to buy)F1 | $4.17 | holding | — | — | — | Mar 6, 2019 | Mar 6, 2028 | Common Stock | 13,394 | — | D |
| Restricted Stock UnitsF2 | $0.00 | holding | — | — | — | — | Mar 3, 2020 | Common Stock | 974 | — | D |
| Restricted Stock UnitsF3 | $0.00 | holding | — | — | — | — | Mar 3, 2020 | Common Stock | 372 | — | D |
Explanation of responses
- F1100% of the stock options vest March 6, 2019.
- F2RSUs vest in three equal annual installments beginning March 3, 2018.
- F3RSUs vest in two annual installments beginning March 3, 2019.