SEC Form 4 · accession 0001739445-19-000007
Arcosa, Inc. · ACA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald J Gafford
Director
Period of report
Dec 31, 2018
Accepted (ET)
Jan 3, 2019 · 7:05 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 | holding | — | — | — | 29,561 | 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 UnitsF3,F2 | $0.00 | Dec 31, 2018 | A | 239 | A | — | — | Common Stock | 239 | 51,706 | D |
Explanation of responses
- F1Represents the shares received on November 1, 2018 in a pro rata distribution by Trinity Industries, Inc. ("Trinity") and conversion of outstanding Trinity equity awards to Arcosa, Inc. ("Arcosa") equity awards.
- F2The Arcosa Phantom Stock Units were accrued under the Arcosa, Inc. Deferred Plan for Director Fees. Each share of phantom stock units 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.
- F3Includes Arcosa Phantom Stock Units that were converted from Trinity Phantom Stock Units in connection with the spin-off of Arcosa from Trinity on November 1, 2018. Each share of phantom stock units 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.