SEC Form 4 · accession 0001140361-16-064498
ASTEC INDUSTRIES INC · ASTE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Malcolm L Swanson
Officer — President-Astec, Inc.
Period of report
May 10, 2016
Accepted (ET)
May 11, 2016 · 2:10 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 Stock | May 10, 2016 | S | 2,987 | $49.33 | D | 160 | D | |
| Common StockF1 | holding | — | — | — | 319 | I | by 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF2 | — | holding | — | — | — | — | — | Common Stock | 1,168 | 1,168 | D |
Explanation of responses
- F1Shares held in 401k are based upon plan statement dated May 11, 2016.
- F2Phantom shares are held in a SERP and are payable in cash following the reporting person's termination of employment from Astec.