SEC Form 4 · accession 0001209191-15-025587
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 11, 2015
Accepted (ET)
Mar 12, 2015 · 3:31 pm EDT
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 11, 2015 | M | 5,025 | $21.83 | A | 35,390 | D | |
| COMMON STOCK | Mar 11, 2015 | F | 3,500 | $39.84 | D | 31,890 | D | |
| COMMON STOCK | Mar 11, 2015 | S | 400 | $38.79 | D | 31,490 | D | |
| COMMON STOCK | Mar 11, 2015 | S | 100 | $38.795 | D | 31,390 | D | |
| COMMON STOCK | Mar 11, 2015 | S | 100 | $38.80 | D | 31,290 | D | |
| COMMON STOCK | Mar 11, 2015 | S | 236 | $38.81 | D | 31,054 | D | |
| COMMON STOCK | Mar 11, 2015 | S | 100 | $38.83 | D | 30,954 | D | |
| COMMON STOCK | Mar 11, 2015 | S | 100 | $38.84 | D | 30,854 | D | |
| COMMON STOCK | Mar 11, 2015 | S | 400 | $38.86 | D | 30,454 | D | |
| COMMON STOCK | Mar 11, 2015 | S | 300 | $38.87 | D | 30,154 | D | |
| COMMON STOCK | Mar 11, 2015 | S | 400 | $38.89 | D | 29,754 | D | |
| COMMON STOCK | Mar 11, 2015 | S | 200 | $38.90 | D | 29,554 | D | |
| COMMON STOCK | Mar 11, 2015 | S | 400 | $38.91 | D | 29,154 | D | |
| COMMON STOCK | Mar 11, 2015 | S | 200 | $38.92 | D | 28,954 | D | |
| COMMON STOCK | Mar 11, 2015 | S | 100 | $38.94 | D | 28,854 | D | |
| COMMON STOCK | Mar 11, 2015 | S | 400 | $38.95 | D | 28,454 | D | |
| COMMON STOCK | Mar 11, 2015 | S | 200 | $38.96 | D | 28,254 | D | |
| COMMON STOCK | Mar 11, 2015 | S | 100 | $38.963 | D | 28,154 | D | |
| COMMON STOCK | Mar 11, 2015 | S | 800 | $38.97 | D | 27,354 | D | |
| COMMON STOCK | Mar 11, 2015 | S | 300 | $38.98 | D | 27,054 | D | |
| COMMON STOCK | Mar 11, 2015 | S | 1,100 | $38.99 | D | 25,954 | D | |
| COMMON STOCK | Mar 11, 2015 | S | 599 | $39.00 | D | 25,355 | D | |
| COMMON STOCK | Mar 11, 2015 | S | 301 | $39.01 | D | 25,054 | D | |
| COMMON STOCK | Mar 11, 2015 | S | 200 | $39.02 | D | 24,854 | D | |
| COMMON STOCK | Mar 11, 2015 | S | 700 | $39.03 | D | 24,154 | D | |
| COMMON STOCK | Mar 11, 2015 | S | 200 | $39.04 | D | 23,954 | D | |
| PERFORMANCE SHARE UNIT (2016)F1 | holding | — | — | — | 2,475 | D | ||
| PERFORMANCE SHARE UNIT (2017)F1 | holding | — | — | — | 2,570 | D | ||
| PERFORMANCE SHARE UNIT (2018)F1 | holding | — | — | — | 3,212 | 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 | Mar 11, 2015 | M | 5,025 | D | Mar 1, 2011 | Apr 1, 2015 | COMMON STOCK | 5,025 | 0 | 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.