SEC Form 4 · accession 0001487329-18-000012
DAVEY TREE EXPERT CO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James F Stief
Officer — Exec VP, U.S. Residential Ops
Period of report
Aug 14, 2018
Accepted (ET)
Aug 15, 2018 · 5:44 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 StockF1 | Aug 14, 2018 | M | 628 | $9.85 | A | 315,941 | D | |
| Common Stock | holding | — | — | — | 16 | I | By Son | |
| Common StockF2 | holding | — | — | — | 52,347 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | $9.85 | Aug 14, 2018 | J | 628 | D | Aug 1, 2012 | Jul 31, 2019 | Common Stock | 628 | 0 | D |
Explanation of responses
- F1Stock Rights available one for every three common shares originally subscribed for each right may be purchased at the rate of 1/7 per year beginning August 1, 2012 and will expire on August 1, 2019.
- F2This total reflects routine accumulation of 52,346.9237 common shares acquired through the Company's 401(K) benefit plan as of August 14, 2018, based on internal records. The number of shares in the reporting person's 401(K) plan account has decreased due to administrative fees withheld by the plan administrator.