SEC Form 4/A · accession 0000897077-15-000002
ALAMO GROUP INC · ALG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Gary L Martin
Director
Period of report
Dec 16, 2014
Accepted (ET)
Feb 19, 2015 · 12:15 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000897077
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Derivative (Right to Buy) for directorsF2,F4 | $25.18 | Dec 16, 2014 | J | 5,000 | D | May 7, 2008 | May 6, 2017 | Common Stock | 5,000 | 0 | D |
| Derivative (Right to Buy) for directorsF3,F4 | $11.45 | Dec 16, 2014 | J | 3,864 | D | May 11, 2010 | May 11, 2019 | Common Stock | 3,864 | 4,136 | D |
Explanation of responses
- F1On December 16, 2014, the Issuer's Board of Directors approved the transfer of options to acquire 8,864 shares of the Issuer's common stock from the Reporting Person to Capital Southwest Corporation ("CSW"), pursuant to an agreement entered into between the Reporting Person and CSW stipulating that the transferred options are intended to be for the benefit of CSW, and the balanace is intended to be for the benefit of the Reporting Person. The Reporting Person is the former Chairman of the Board, President and Chief Executive Officer of CSW. The transferred options will be subject to the lock-up agreement dated November 12, 2014 entered into by CSW with the underwriters of shares of the Issuer's common stock that CSW sold in a public offering on November 12, 2014.
- F2These options were originally granted to the Reporting Person on May 7, 2007 pursuant to the Alamo Group Inc. First Amended and Restated 1999 Non-Qualified Stock Option Plan. These options vested in five equal annual installments beginning on May 7, 2008.
- F3These options were originally granted to the Reporting Person on May 11, 2009 pursuant to the Alamo Group Inc. First Amended and Restated 1999 Non-Qualified Stock Option Plan. These options vested in 5 equal annual installments beginning on May 11, 2010.
- F4These options were inadvertently reported in subcolumn (A) of Column 5 of Table II in the original Form 4 filed by the reporting person on December 18, 2014 to report this transaction. This amendment is being filed to correctly report these options in subcolumn (D) of Column 5 of Table II to show that the reporting person disposed of these options on December 16, 2014.