SEC Form 4 · accession 0001140361-16-060493
ASTEC INDUSTRIES INC · ASTE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lawrence R Cumming
Officer — President-Peterson Pacific
Period of report
Apr 6, 2016
Accepted (ET)
Apr 7, 2016 · 9:40 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000792987
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF1 | — | Apr 7, 2016 | A | 101 | A | — | — | Common Stock | 101 | 4,015 | D |
Explanation of responses
- F1Transaction represents Company's quarter contribution to reporting person's SERP account that was used to purchase Astec stock on the open market. Phantom shares are held in a SERP and are payable in cash following the reporting person's termination of employment from Astec.