SEC Form 4 · accession 0001140361-15-017343
ASTEC INDUSTRIES INC · ASTE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey L Richmond
Officer — President-Roadtec
Period of report
May 1, 2015
Accepted (ET)
May 4, 2015 · 1:48 pm EDT
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 StockF1 | holding | — | — | — | 8,062 | D | ||
| Common Stock | holding | — | — | — | 45 | 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 | — | May 1, 2015 | I | 3,401 | D | — | — | Common Stock | 3,401 | 0 | 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.
- F2Phantom shares were held in a SERP. Under the plan's provisions, PhantomShares can be sold at the reporting person's discretion at any time and reinvested in other allows invstments. Phantom shares held in a SERP and are payable in cash following the reporting person's termination of employment from Astec.