SEC Form 4 · accession 0001140361-15-013115
ABM INDUSTRIES INC /DE/ · ABM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David L Farwell
Officer — Senior Vice President
Period of report
Mar 24, 2015
Accepted (ET)
Mar 25, 2015 · 11:02 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000771497
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 24, 2015 | M | 1,356 | $21.49 | A | 38,781 | D | |
| Common StockF1 | Mar 24, 2015 | S | 1,356 | $32.3626 | D | 37,425 | D | |
| Common Stock | Mar 24, 2015 | M | 1,531 | $19.09 | A | 38,956 | D | |
| Common StockF1 | Mar 24, 2015 | S | 1,531 | $32.3626 | D | 37,425 | D | |
| Common Stock | Mar 24, 2015 | M | 1,459 | $18.31 | A | 38,884 | D | |
| Common StockF1 | Mar 24, 2015 | S | 1,459 | $32.3626 | D | 37,425 | D | |
| Common Stock | Mar 24, 2015 | M | 875 | $25.30 | A | 38,300 | D | |
| Common StockF1,F2 | Mar 24, 2015 | S | 875 | $32.3626 | D | 37,425 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF3,F4 | $21.49 | Mar 24, 2015 | M | 1,356 | D | — | Sep 8, 2017 | Common Stock | 1,356 | 5,000 | D |
| Stock OptionsF3,F5 | $19.09 | Mar 24, 2015 | M | 1,531 | D | — | Sep 13, 2018 | Common Stock | 1,531 | 5,844 | D |
| Stock OptionsF3,F6 | $18.31 | Mar 24, 2015 | M | 1,459 | D | — | Oct 11, 2019 | Common Stock | 1,459 | 3,460 | D |
| Stock OptionsF3,F7 | $25.30 | Mar 24, 2015 | M | 875 | D | — | Sep 6, 2020 | Common Stock | 875 | 2,628 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.33 to $32.38, inclusive. The reporting person undertakes to provide to ABM Industries Incorporated, any security holder of ABM Industries Incorporated, 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 ranges set forth in footnote 1 of this Form 4.
- F2Includes 7,694 RSUs, and DERs relating to the RSUs, adjusted to reflect the cumulative effect of fractional shares, 1,586 performance shares earned but not vested with respect to performance shares granted on 1/14/2013, 565 performance shares earned but not vested with respect to performance shares granted on 1/14/2014, and DERs related thereto.
- F3Stock options granted under the 2006 Equity Incentive Plan.
- F425% exercisable on 9/8/2011 and 25% on the anniversary date of each of the following three years.
- F525% exercisable on 9/13/2012 and 25% on the anniversary date of each of the following three years.
- F625% exercisable on 10/11/2013 and 25% on the anniversary date of each of the following three years.
- F725% exercisable on 9/6/2014 and 25% on the anniversary date of each of the following three years.