SEC Form 4 · accession 0001437749-16-042109
Aegion Corp · AEGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David F Morris
Officer — EVP & General Counsel
Period of report
Nov 11, 2016
Accepted (ET)
Nov 14, 2016 · 5:43 pm 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 11, 2016 | S | 5,000 | $22.50 | D | 153,108 | D | |
| Common StockF3 | Nov 11, 2016 | S | 5,000 | $22.7055 | D | 148,108 | D | |
| Common StockF5 | Nov 11, 2016 | S | 5,000 | $22.50 | D | 31,135 | I | By spouse |
| Common Stock | holding | — | — | — | 3,500 | I | Individual Retirement Account | |
| Common StockF5 | holding | — | — | — | 2,950 | I | By spouse in Individual Retirement Account |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales reported in this line of this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person in March 2016.
- F2The sales reported in this line of this Form 4 were effected pursuant to a separate Rule 10b5-1 trading plan adopted by the reporting person in March 2016.
- F3The price reported in Column 4 of this line of this Form 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.50 to $23.01, inclusive. The reporting person undertakes to provide to 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.
- F4The sales reported in this line of this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person's spouse in March 2016.
- F5The reporting person acquired beneficial ownership of these shares upon his marriage to the owner of the shares. The reporting person disclaims that he is the beneficial ownership of these shares.