SEC Form 4 · accession 0001572890-15-000010
DAVEY TREE EXPERT CO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dan A Joy
Officer — VP/GM Comm'l Landscape Srvs
Period of report
Oct 15, 2015
Accepted (ET)
Oct 19, 2015 · 9:54 am 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 | Oct 16, 2015 | S | 1,029 | $31.50 | D | 12,710 | D | |
| Common Stock | Oct 15, 2015 | M | 3,350 | $11.25 | A | 16,060 | D | |
| Common StockF1 | Oct 15, 2015 | F | 713 | $31.50 | D | 15,347 | D | |
| Common Stock | holding | — | — | — | 800 | I | By Minor Child | |
| Common StockF2 | holding | — | — | — | 43,355 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Nonqualified Stock Option (Right to Buy)F3 | $11.25 | Oct 15, 2015 | M | 3,350 | A | Jun 5, 2007 | Jun 5, 2016 | Common Stock | 3,350 | 4,650 | D |
Explanation of responses
- F1Payment of taxes in connection with setting of exercised option shares.
- F2This total reflects routine accumulation of 43,354.5953 common shares acquired through the Company's 401(K) benefit plan as of October 15, 2015, based on internal records.
- F3These options vested and became fully exercisable on June 5, 2011.