SEC Form 4 · accession 0001225208-17-005762
WASTE MANAGEMENT INC · WM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James E Trevathan Jr.
Officer — EVP & Chief Operating Officer
Period of report
Mar 3, 2017
Accepted (ET)
Mar 7, 2017 · 5:12 pm EST
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 Stock | Mar 3, 2017 | M | 29,594 | $41.37 | A | 361,705 | D | |
| Common Stock | Mar 3, 2017 | M | 29,457 | $36.885 | A | 391,162 | D | |
| Common StockF1 | Mar 3, 2017 | S | 20,998 | $73.1019 | D | 370,164 | D | |
| Common StockF2 | Mar 3, 2017 | S | 25,229 | $73.0764 | D | 344,935 | D | |
| Common Stock | Mar 6, 2017 | M | 4,114 | $41.37 | A | 349,049 | D | |
| Common Stock | Mar 6, 2017 | S | 3,087 | $72.7801 | D | 345,962 | 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 | $41.37 | Mar 3, 2017 | M | 29,594 | D | Mar 7, 2015 | Mar 7, 2024 | Common Stock | 29,594 | 37,822 | D |
| Stock Option (Right to Buy)F3 | $36.885 | Mar 3, 2017 | M | 29,457 | D | Mar 8, 2014 | Mar 8, 2023 | Common Stock | 29,457 | 0 | D |
| Stock Option (Right to Buy)F3 | $41.37 | Mar 6, 2017 | M | 4,114 | D | Mar 7, 2015 | Mar 7, 2024 | Common Stock | 4,114 | 33,708 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $73.10 to $73.11. 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 information regarding the number of shares and prices at which the transaction was effected.
- F2This transaction was executed in multiple trades at prices ranging from $72.85 to $73.16. 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 information 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.