SEC Form 4/A · accession 0001140361-16-059238
ASTEC INDUSTRIES INC · ASTE
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
Michael A Bremmer
Officer — President-CEI Enterprises
Period of report
Mar 28, 2016
Accepted (ET)
Mar 29, 2016 · 10:53 am 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 | — | — | — | 300 | D | ||
| Common Stock | holding | — | — | — | 2,424 | 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 | — | Mar 28, 2016 | A | 9 | A | — | — | Common Stock | 9 | 4,027 | 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.
- F2Corrected footnote--Transaction represents the automatic reinvestment of a cash dividend paid on phantom stock held in the participants SERP account that was used to purchase Astec stock on the open market as approved by the Company's Board of Directors. Phantom shares are held in a SERP and are payable in cash following the reporting person's termination of employment from Astec.