SEC Form 4 · accession 0001209191-16-128849
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
Jun 16, 2016
Accepted (ET)
Jun 20, 2016 · 5:27 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 Stock | Jun 16, 2016 | S | 2,325 | $8.177 | D | 0 | I | 401(k) Plan |
| Common StockF3,F4 | Jun 20, 2016 | S | 10,900 | $8.4219 | D | 62,806 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Mr. Henry sold his 401(k) shares for estate planning purposes.
- F2The sales reported on this Form 4 were effected for estate planning purposes pursuant to a Rule 10b5-1 Plan.
- F3The disposition transaction was executed in muliple trades at prices ranging from $8.240-$8.610. 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 62,806 shares directly.