SEC Form 4 · accession 0001179110-16-029874
AECOM · ACM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frederick W Werner
Officer — Pres, Design & Conslt Services
Period of report
Sep 16, 2016
Accepted (ET)
Sep 20, 2016 · 6:45 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000868857
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Sep 16, 2016 | M | 20,287 | $27.54 | A | 62,936 | D | |
| Common StockF2 | Sep 16, 2016 | S | 20,287 | $27.8274 | D | 42,649 | D | |
| Common StockF2 | Sep 16, 2016 | S | 7,500 | $27.8274 | D | 35,149 | D | |
| Common Stock | holding | — | — | — | 65,828 | I | by Merrill Lynch under AECOM Retirement & Savings Plan (RSP) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock OptionsF4 | $27.54 | Sep 16, 2016 | M | 20,287 | D | — | Dec 8, 2017 | Common Stock | 20,287 | 9,000 | D |
| Restricted Stock UnitsF3,F5 | — | holding | — | — | — | — | — | Common Stock | 23,230 | 23,230 | D |
| Restricted Stock UnitsF3,F6 | — | holding | — | — | — | — | — | Common Stock | 24,474 | 24,474 | D |
| Restricted Stock UnitsF3,F7 | — | holding | — | — | — | — | — | Common Stock | 26,738 | 26,738 | D |
Explanation of responses
- F1The sales in this Form 4 were made pursuant to a 10b5-1 trading plan adopted on August 11, 2016.
- F2This transaction was executed in multiple trades at prices ranging from $27.80 to $28.05. 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.
- F3Each restricted stock unit represents a contingent right to receive one share of AECOM common stock.
- F4The options vested in three equal annual installments beginning on December 8, 2011.
- F5The restricted stock units vest in December 2016.
- F6The restricted stock units vest in December 2017.
- F7The restricted stock units vest in December 2018.