SEC Form 4 · accession 0001247543-15-000011
DAVEY TREE EXPERT CO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nicholas R Sucic
Officer — VP and Controller
Period of report
Sep 30, 2015
Accepted (ET)
Oct 2, 2015 · 4:40 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000277638
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Sep 30, 2015 | M | 1,000 | $16.40 | A | 37,255 | D | |
| Common Stock | Sep 30, 2015 | M | 1,000 | $16.60 | A | 38,255 | D | |
| Common Stock | Sep 30, 2015 | M | 1,000 | $18.40 | A | 39,255 | D | |
| Common Stock | Sep 30, 2015 | M | 1,000 | $19.70 | A | 40,255 | D | |
| Common Stock | Sep 30, 2015 | M | 1,000 | $23.20 | A | 41,255 | D | |
| Common Stock | Sep 30, 2015 | M | 1,050 | $26.40 | A | 42,305 | D | |
| Common StockF1 | Sep 30, 2015 | D | 3,874 | $31.50 | D | 38,431 | D | |
| Common StockF2 | Sep 30, 2015 | D | 651 | $31.50 | D | 37,780 | D | |
| Common StockF3 | holding | — | — | — | 2,822 | I | By 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation Rights (2010)F1 | $16.40 | Sep 30, 2015 | M | 1,000 | A | Mar 10, 2010 | Dec 31, 2018 | Common Stock | 1,000 | 0 | D |
| Stock Appreciation Rights (2011)F1 | $16.60 | Sep 30, 2015 | M | 1,000 | A | Mar 9, 2011 | Dec 31, 2019 | Common Stock | 1,000 | 0 | D |
| Stock Appreciation Rights (2012)F1 | $18.40 | Sep 30, 2015 | M | 1,000 | A | Mar 9, 2012 | Dec 31, 2020 | Common Stock | 1,000 | 0 | D |
| Stock Appreciation Rights (2013)F1 | $19.70 | Sep 30, 2015 | M | 1,000 | A | Mar 7, 2013 | Dec 31, 2021 | Common Stock | 1,000 | 0 | D |
| Stock Appreciation Rights (2013)F1 | $23.20 | Sep 30, 2015 | M | 1,000 | A | Mar 7, 2014 | Dec 31, 2022 | Common Stock | 1,000 | 0 | D |
| Stock Subscription Rights (2014)F1 | $26.40 | Sep 30, 2015 | M | 1,000 | A | Mar 7, 2015 | Dec 31, 2023 | Common Stock | 1,000 | 0 | D |
Explanation of responses
- F1Exercise of SARs.
- F2Payment of taxes in connection with SARs pay-out.
- F3This total reflects routine accumulation of 2,821,9869 common shares acquired through the Company's 401(K) benefit plan as of September 30, 2015, based on internal records.