SEC Form 4 · accession 0001179110-16-033266
AECOM · ACM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen M Kadenacy
Officer — President
Period of report
Dec 15, 2016
Accepted (ET)
Dec 19, 2016 · 9:03 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 | Dec 15, 2016 | F | 7,197 | $38.16 | D | 74,972 | D | |
| Common StockF1 | Dec 15, 2016 | M | 11,968 | $38.16 | A | 67,775 | D | |
| Common StockF3 | Dec 15, 2016 | A | 28,466 | $38.16 | A | 96,241 | D | |
| Common StockF5 | Dec 16, 2016 | S | 39,632 | $38.1579 | D | 56,609 | D | |
| Common Stock | holding | — | — | — | 1,141 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1 | — | Dec 15, 2016 | M | 19,165 | D | Dec 15, 2016 | — | Common Stock | 19,165 | 0 | D |
| Restricted Stock UnitF6,F7 | — | Dec 15, 2016 | A | 39,309 | A | — | — | Common Stock | 39,309 | 39,309 | D |
Explanation of responses
- F1Each restricted stock unit represented a contingent right to receive one share of AECOM common stock. On December 15, 2016, 19,165 of the reporting person's restricted stock units vested and were settled for an equal number of shares of AECOM common stock less any applicable tax withholding.
- F2Shares acquired pursuant to AECOM's Performance Earnings Program under 2006 Stock Incentive Plan.
- F3Pursuant to the terms of AECOM's Performance Earnings Program, the calculation to determine the number of shares awarded under the Program was performed using a per share value equal to the closing price on December 15, 2016.
- F4The sale in this Form 4 was made pursuant to a 10b5-1 trading plan adopted on November 16, 2016.
- F5This transaction was executed in multiple trades at prices ranging from $38.05 to $38.34. 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.
- F6Each restricted stock unit represents a contingent right to receive one share of AECOM common stock.
- F7The restricted stock units vest in December 2019.