SEC Form 4 · accession 0001209191-19-000305
AMERICAN SUPERCONDUCTOR CORP /DE/ · AMSC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John W Kosiba Jr.
Officer — SVP, CFO & Treasurer
Period of report
Dec 28, 2018
Accepted (ET)
Jan 2, 2019 · 4:52 pm EST
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 | Dec 28, 2018 | S | 12,374 | $10.3113 | D | 193,912 | D | |
| Common StockF4 | holding | — | — | — | 3,169 | I | By 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 for tax planning purposes.
- F2The disposition transaction was executed in multiple trades at prices ranging from $9.66-$10.535. 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 193,912 shares directly.
- F4Following all the transactions reported on this Form 4, the reporting person holds 3,169 shares indirectly through the AMSC 401(k) plan as of January 2, 2019.