SEC Form 4 · accession 0000899243-16-036361
CECO ENVIRONMENTAL CORP · CECO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey Lang
Officer — CEO and President · Director
Period of report
Dec 23, 2016
Accepted (ET)
Dec 28, 2016 · 5:15 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000003197
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 23, 2016 | M | 5,928 | $3.78 | A | 151,957 | D | |
| Common StockF1 | Dec 23, 2016 | S | 5,928 | $14.3108 | D | 146,029 | D | |
| Common Stock | Dec 27, 2016 | M | 4,072 | $3.78 | A | 150,101 | D | |
| Common Stock | Dec 27, 2016 | S | 4,072 | $14.30 | D | 146,029 | D | |
| Common Stock | Dec 28, 2016 | M | 10,000 | $3.78 | A | 156,029 | D | |
| Common StockF2 | Dec 28, 2016 | S | 10,000 | $14.2293 | D | 146,029 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F3 | $3.78 | Dec 23, 2016 | M | 5,928 | D | — | Feb 15, 2020 | Common Stock | 5,928 | 294,072 | D |
| Stock Option (right to buy)F3 | $3.78 | Dec 27, 2016 | M | 4,072 | D | — | Feb 15, 2020 | Common Stock | 4,072 | 290,000 | D |
| Stock Option (right to buy)F3 | $3.78 | Dec 28, 2016 | M | 10,000 | D | — | Feb 15, 2020 | Common Stock | 10,000 | 280,000 | D |
Explanation of responses
- F1Price reflects a weighted average price for multiple transactions that ranged from $14.30 to $14.34 per share. The Reporting Person undertakes to provide, upon request by the Commission Staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F2Price reflects a weighted average price for multiple transactions that ranged from $14.09 to $14.38 per share. The Reporting Person undertakes to provide, upon request by the Commission Staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F3This option is fully vested.