SEC Form 4/A · accession 0001140361-17-016760
ABM INDUSTRIES INC /DE/ · ABM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Rene Jacobsen
Officer — Pres - Business & Industry
Period of report
Apr 10, 2017
Accepted (ET)
Apr 25, 2017 · 5:53 pm 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 | Apr 10, 2017 | M | 950 | $25.30 | A | 16,541 | D | |
| Common StockF3 | Apr 10, 2017 | S | 950 | $41.88 | D | 15,591 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF4,F5 | $25.30 | Apr 10, 2017 | M | 950 | D | — | Sep 6, 2020 | Common Stock | 950 | 4,340 | D |
Explanation of responses
- F1The sale of shares reported in this Form 4 were previously reported on a Form 4 filed on 4/10/17. However, the related option exercise (which was a broker-assisted cashless exercise resulting in the sale of the shares exercised) was mistakenly omitted from the prior Form 4, and so this amendment is being filed to add the option exercise.
- F2All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person.
- F3Includes 11,664 RSUs and DERS relating to the RSUs, adjusted to reflect the cumulative effect of fractional shares, 1,635 performance shares earned but not vested with respect to TSR performance shares granted on 9/8/2014, 460 performance shares earned but not vested with respect to performance shares granted on 1/15/2015, and DERs related thereto.
- F4Stock options granted under the 2006 Equity Incentive Plan.
- F525% exercisable on 9/6/2014 and 25% on the anniversary date of the following three years.