SEC Form 4 · accession 0001179110-16-031421
AECOM · ACM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael S Burke
Officer — Chairman & CEO · Director
Period of report
Nov 9, 2016
Accepted (ET)
Nov 10, 2016 · 7:08 pm EST
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 | Nov 9, 2016 | M | 58,140 | $24.45 | A | 166,702 | D | |
| Common Stock | Nov 9, 2016 | S | 53,100 | $31.00 | D | 113,602 | D | |
| Common Stock | holding | — | — | — | 38,206 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF3 | $24.45 | Nov 9, 2016 | M | 58,140 | D | — | Dec 2, 2016 | Common Stock | 58,140 | 0 | D |
| Stock OptionsF4 | $27.54 | holding | — | — | — | — | Dec 8, 2017 | Common Stock | 66,561 | 66,561 | D |
| Stock OptionsF5 | $31.62 | holding | — | — | — | — | Mar 5, 2024 | Common Stock | 638,570 | 638,570 | D |
| Restricted Stock UnitsF2,F6 | — | holding | — | — | — | — | — | Common Stock | 50,651 | 50,651 | D |
| Restricted Stock UnitsF2,F6 | — | holding | — | — | — | — | — | Common Stock | 17,711 | 17,711 | D |
| Restricted Stock UnitsF2,F7 | — | holding | — | — | — | — | — | Common Stock | 111,077 | 111,077 | D |
| Restricted Stock UnitsF2,F8 | — | holding | — | — | — | — | — | Common Stock | 154,274 | 154,274 | D |
| Restricted Stock UnitF2,F9 | — | holding | — | — | — | — | — | Common Stock | 140,375 | 140,375 | D |
Explanation of responses
- F1The transaction in this Form 4 was made pursuant to a 10b5-1 trading plan adopted on September 12, 2016, solely to cover the option cost, taxes, and other fees related to the exercise of the stock option. After the transaction, the remaining net shares of 5,040 continue to be held by the filer, Michael S. Burke.
- F2Each restricted stock unit represents a contingent right to receive one share of AECOM common stock.
- F3The stock option vests in three equal annual installments beginning on December 2, 2010.
- F4The stock option vests in three equal annual installments beginning on December 8, 2011.
- F5The option becomes exercisable, if at all, beginning on March 5, 2019 subject to (A) continued employment and (B) the average daily closing price of AECOM's common stock on the New York Stock Exchange during any consecutive 20 trading day period exceeding certain price hurdles.
- F6The restricted stock units vest in December 2016.
- F7The restricted stock units vest in December 2017.
- F8The restricted stock units vest in three equal annual installments beginning November 2017.
- F9The restricted stock units vest in December 2018.