SEC Form 4 · accession 0001140361-16-085688
ASTEC INDUSTRIES INC · ASTE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John J. Irvine III
Officer — President-Roadtec, Inc.
Period of report
Nov 9, 2016
Accepted (ET)
Nov 10, 2016 · 9:18 am 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 | Nov 9, 2016 | S | 3,221 | $64.5058 | D | 0 | D | |
| Common StockF1 | holding | — | — | — | 1,000 | 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 | — | holding | — | — | — | — | — | Common Stock | 150 | 150 | D |
Explanation of responses
- F1Shares shown represent restricted stock units that convert to common stock on a one-for-one basis at a later date.
- F2Phantom shares are held in a SERP and are payable in cash following the reporting person's termination of employment from Astec.