SEC Form 4 · accession 0001179110-17-013191
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
Oct 5, 2017
Accepted (ET)
Oct 6, 2017 · 8:00 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 | Oct 5, 2017 | M | 66,561 | $27.54 | A | 220,923 | D | |
| Common StockF2 | Oct 5, 2017 | S | 56,800 | $36.86 | D | 164,123 | D | |
| Common Stock | holding | — | — | — | 38,910 | 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 Options | $27.54 | Oct 5, 2017 | M | 66,561 | D | Oct 5, 2017 | Dec 8, 2017 | Common Stock | 66,561 | 0 | D |
| Stock OptionsF4 | $31.62 | holding | — | — | — | — | Mar 5, 2024 | Common Stock | 638,570 | 638,570 | D |
| Restricted Stock UnitF3,F5 | — | holding | — | — | — | — | — | Common Stock | 111,077 | 111,077 | D |
| Restricted Stock UnitsF3,F6 | — | holding | — | — | — | — | — | Common Stock | 154,274 | 154,274 | D |
| Restricted Stock UnitsF3,F7 | — | holding | — | — | — | — | — | Common Stock | 140,375 | 140,375 | D |
| Restricted Stock UnitsF3,F8 | — | holding | — | — | — | — | — | Common Stock | 115,304 | 115,304 | D |
Explanation of responses
- F1The sale in this Form 4 was made pursuant to a 10b5-1 trading plan adopted on September 1, 2017 solely to cover the option cost, taxes and other fees related to the exercise of the stock option that would have expired on December 8, 2017. After the transaction, the remaining 9,761 net shares continue to be held by Michael S. Burke.
- F2This transaction was executed in multiple trades at prices ranging from $36.46 to $36.92. 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 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.
- F5The restricted stock units vest in December 2017.
- F6The restricted stock units vest in three equal annual installments beginning on November 2017.
- F7The restricted stock units vest in December 2018.
- F8The restricted stock units vest in December 2019.