SEC Form 4 · accession 0001437749-15-020137
Aegion Corp · AEGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David A Martin
Officer — EVP and CFO
Period of report
Nov 5, 2015
Accepted (ET)
Nov 9, 2015 · 10:14 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000353020
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 5, 2015 | M | 44,776 | $12.84 | A | 141,005 | D | |
| Common StockF1 | Nov 5, 2015 | F | 33,453 | $20.69 | D | 107,552 | D | |
| Common StockF3 | Nov 5, 2015 | S | 11,323 | $20.92 | D | 96,229 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F2 | $12.84 | Nov 5, 2015 | M | 44,776 | D | — | Mar 2, 2016 | Common Stock | 44,776 | 0 | D |
Explanation of responses
- F1Shares of common stock withheld to satisfy the exercise price and tax withholdings for net exercise of options.
- F2The option vested in three equal installments on March 2, 2010, March 2, 2011 and March 2, 2012.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from 20.46 to 21.225, inclusive. The reporting person undertakes to provide Aegion Corporation, any security holder of Aegion Corporation or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.