SEC Form 4 · accession 0001225208-15-019486
WASTE MANAGEMENT INC · WM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Barry H Caldwell
Officer — Senior Vice President
Period of report
Oct 8, 2015
Accepted (ET)
Oct 13, 2015 · 1:04 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000823768
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Oct 8, 2015 | M | 15,201 | $34.935 | A | 56,051 | D | |
| Common StockF1 | Oct 8, 2015 | M | 9,922 | $36.885 | A | 65,973 | D | |
| Common StockF1 | Oct 8, 2015 | G | 700 | $0.00 | D | 65,273 | D | |
| Common StockF1,F2 | Oct 8, 2015 | S | 4,262 | $52.0446 | D | 61,011 | D | |
| Common StockF1 | Oct 8, 2015 | F | 20,552 | $52.00 | D | 40,459 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F3,F1 | $36.885 | Oct 8, 2015 | M | 9,922 | D | Mar 8, 2014 | Mar 8, 2023 | Common Stock | 9,922 | 9,922 | D |
| Stock Option (Right to Buy)F3,F1 | $34.935 | Oct 8, 2015 | M | 15,201 | D | Mar 9, 2013 | Mar 9, 2022 | Common Stock | 15,201 | 0 | D |
Explanation of responses
- F1Stock option exercise and shares sold/transferred pursuant to a 10b5-1 trading plan.
- F2This transaction was executed in multiple trades at prices ranging from $52.04 to $52.06. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full informaton regarding the number of shares and prices at which the transaction was effected.
- F3Stock option granted pursuant to Waste Management, Inc. 2009 Stock Incentive Plan. The stock option vests 25% on the first and second anniversary of the date of grant with the remaining 50% on the third anniversary of the date of grant.