SEC Form 4 · accession 0001140361-15-001575
ASTEC INDUSTRIES INC · ASTE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
J Don Brock
Officer — Chairman · Director
Period of report
Jan 12, 2015
Accepted (ET)
Jan 13, 2015 · 2:57 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000792987
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 44,475 | I | Residuary Trust | |
| Common StockF1 | holding | — | — | — | 27,351 | D | ||
| Common Stock | holding | — | — | — | 2,000,590 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF2 | — | Jan 12, 2015 | A | 414 | A | — | — | Common Stock | 414 | 47,718 | D |
Explanation of responses
- F1Holdings are restricted stock units (RSUs) that convert to common stock on a one-for-one basis at a later date.
- F2Transaction represents the Company's quarterly contribution to the reporting person's SERP account that was used to purchase Astec stock. Phantom shares are held in a SERP and are payable in cash following the reporting person's termination of employment from Astec.