SEC Form 4 · accession 0001209191-15-063577
AMERICAN SUPERCONDUCTOR CORP /DE/ · AMSC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David A Henry
Officer — EVP, CFO & Treasurer
Period of report
Jul 31, 2015
Accepted (ET)
Aug 4, 2015 · 4:00 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000880807
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2,F3 | Jul 31, 2015 | S | 929 | $5.0671 | D | 97,580 | D | |
| Common StockF4 | holding | — | — | — | 1,552 | I | 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 Plan. The primary purpose of such sales was to pay personal income taxes that were due upon the vesting of restricted stock on July 31, 2015.
- F2The disposition transaction was executed in muliple trades at prices ranging from $4.99-$5.22. 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 price at which the transaction was effected.
- F3Following all the transactions reported on this Form 4, the reporting person holds 97,580 shares directly.
- F4Following all the transactions reported on this Form 4, the reporting person holds 1,552 shares indirectly through the company's 401(k) plan as of July 31, 2015.