SEC Form 4/A · accession 0001572920-18-000012
DAVEY TREE EXPERT CO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Mark J Vaughn
Officer — VP/GM Eastern Utility Services
Period of report
Oct 15, 2018
Accepted (ET)
Oct 15, 2018 · 2:06 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 | Oct 15, 2018 | M | 4,000 | $9.85 | A | 22,066 | D | |
| Common StockF1 | Oct 15, 2018 | D | 1,315 | $19.70 | D | 20,751 | D | |
| Common StockF2 | Oct 15, 2018 | F | 396 | $19.70 | D | 18,985 | D | |
| Common StockF3 | holding | — | — | — | 17,762 | 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 (2013) | $11.60 | Oct 15, 2018 | M | 4,000 | A | Mar 7, 2014 | Dec 31, 2022 | Common Stock | 4,000 | 0 | D |
Explanation of responses
- F1Exercise of SARs.
- F2Payment of taxes in connection with SARs pay-out.
- F3This total reflects routine accumulation of 17,761.892 common shares acquired through the Company's 401(K) benefit plan as of August 30, 2018, based on internal records.