SEC Form 4 · accession 0001437749-16-042420
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 16, 2016
Accepted (ET)
Nov 18, 2016 · 5:28 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 16, 2016 | M | 30,776 | $22.87 | A | 178,884 | D | |
| Common StockF1 | Nov 16, 2016 | F | 29,558 | $24.18 | D | 149,326 | D | |
| Common Stock | holding | — | — | — | 3,500 | I | Individual Retirement Account | |
| Common StockF2 | holding | — | — | — | 31,135 | I | By spouse | |
| Common StockF2 | holding | — | — | — | 2,950 | I | By spouse in Individual Retirement Account |
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)F3 | $22.87 | Nov 16, 2016 | M | 30,776 | D | — | Feb 24, 2017 | Common Stock | 30,776 | 0 | D |
Explanation of responses
- F1Shares of common stock withheld to satisfy the exercise price and tax withholdings for net exercise of options.
- F2The 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.
- F3The option vested in three equal installments on February 24, 2011, February 24, 2012 and February 24, 2013.