SEC Form 4 · accession 0001739445-18-000055
Arcosa, Inc. · ACA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Antonio Carrillo
Officer — President & CEO · Director
Period of report
Nov 12, 2018
Accepted (ET)
Nov 13, 2018 · 8:08 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001739445
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 12, 2018 | A | 115,474 | $0.00 | A | 164,821 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Arcosa Phantom Stock UnitsF2 | $0.00 | holding | — | — | — | — | — | Common Stock | 4,741 | 4,741 | D |
Explanation of responses
- F1Includes 49,347 shares received on November 1, 2018 in a pro rata distribution by Trinity Industries, Inc. ("Trinity") and conversion of outstanding Trinity equity awards to Arocsa, Inc. ("Arcosa") equity awards.
- F2In connection with the spin-off of Arcosa from Trinity on November 1, 2018, the reporting person's Trinity Phantom Stock Units accrued under the Trinity Deferred Plan for Director Fees were converted to Arcosa Phantom Stock Units. Each share of phantom stock unit is the economic equivalent of one share of common stock. The phantom stock units settle in cash upon the reporting person's termination of services with Arcosa.