SEC Form 4 · accession 0001209191-16-113631
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
Apr 5, 2016
Accepted (ET)
Apr 7, 2016 · 4:36 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 | Apr 5, 2016 | S | 6,295 | $8.153 | D | 91,285 | D | |
| Common StockF3,F4 | Apr 6, 2016 | S | 6,250 | $8.2601 | D | 85,035 | D | |
| Common StockF5 | holding | — | — | — | 2,143 | 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 for tax and estate planning purposes pursuant to a Rule 10b5-1 Plan.
- F2The disposition transaction was executed in muliple trades at prices ranging from $7.82-$8.39. 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.
- F3The disposition transaction was executed in muliple trades at prices ranging from $8.145-$8.370. 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.
- F4Following all the transactions reported on this Form 4, the reporting person hold 85,035 shares directly.
- F5Following all the transactions reported on this Form 4, the reporting person holds 2,143 shares indirectly through the company's 401(k) plan as of March 31, 2016.