SEC Form 4/A · accession 0001209191-16-150023
POWELL INDUSTRIES INC · POWL
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
Brett Alan Cope
Officer — President & CEO · Director
Period of report
Feb 23, 2016
Accepted (ET)
Nov 15, 2016 · 11:44 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000080420
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Feb 23, 2016 | D | 3,700 | $0.00 | D | 9,503 | D | |
| Common StockF3 | Feb 23, 2016 | A | 5,600 | $0.00 | A | 15,103 | D | |
| Common StockF4 | Jul 1, 2016 | A | 5,000 | $0.00 | A | 20,103 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Transaction involved an amendment of an outstanding grant of RSU awards that were originally granted on October 1, 2015, resulting in the deemed cancellation and regrant of the award.
- F2The reporting person is filing this amendment to correct an error with respect to the amount of securities deemed to have been cancelled pursuant to the transaction described in footnote (1), which in turn resulted in an error in the amount of securities reported as beneficially owned in subsequent reported transactions.
- F3Represents time-based RSU awards that will vest in three equal annual installments on the first, second and third anniversaries of October 1, 2015, subject to the Reporting Person's continued employment with the Company.
- F4Represents time-based RSUs that vests 100% on the third anniversary date from the date of grant.