SEC Form 4 · accession 0001209191-15-021027
Andersons, Inc. · ANDE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas Lowell Waggoner
Officer — VP, Corp Marketing & Operation
Period of report
Mar 2, 2015
Accepted (ET)
Mar 3, 2015 · 3:09 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000821026
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| COMMON STOCK | Mar 2, 2015 | A | 1,606 | $0.00 | A | 32,065 | D | |
| PERFORMANCE SHARE UNIT (2018)F1 | Mar 2, 2015 | A | 3,212 | $0.00 | A | 3,212 | D | |
| PERFORMANCE SHARE UNIT (2016)F2 | holding | — | — | — | 2,475 | D | ||
| PERFORMANCE SHARE UNIT (2017)F1 | holding | — | — | — | 2,570 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| SOSAR | $21.83 | holding | — | — | — | Mar 1, 2011 | Apr 1, 2015 | COMMON STOCK | 5,025 | 5,025 | D |
Explanation of responses
- F1Stock performance unit granted pursuant to The Andersons, Inc. Plan. Units vest 100% in 3 years contingent on cumulative EPS. Number of underlying shares are determined by the three-year cumulative fully diluted EPS for the performance period.
- F2Stock performance unit granted pursuant to The Andersons, Inc. plan. Units vest 100% in 27 months contingent on cumulative EPS from 10/01/2013 to 12/31/2015. Number of underlying shares are determined by the twenty-seven months cumulative fully diluted EPS for the performance period.