SEC Form 4 · accession 0001179110-16-020905
CASELLA WASTE SYSTEMS INC · CWST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John W Casella
Officer — Chief Executive Officer · Director
Period of report
Mar 1, 2016
Accepted (ET)
Mar 3, 2016 · 4:53 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000911177
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Mar 1, 2016 | A | 47,468 | $0.00 | A | 533,994 | D | |
| Class B Common Stock | holding | — | — | — | 494,100 | D | ||
| Class A Common StockF1 | holding | — | — | — | 694 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Held by Mr. Casella's spouse. Mr. Casella disclaims beneficial ownership of the securities indicated to the extent to which he does not have an actual pecuniary interest in such securities. In addition, previously reported indirect ownership of 91,246 shares of Class A Common Stock held in trust for the benefit of Mr. Casella's children are no longer being reported as it has been determined that Mr. Casella did not beneficially own such shares after such shares were gifted by Mr. Casella to his children's trusts.
- F2Represents the award of Restricted Stock Units (RSUs) under the Casella Waste Systems, Inc. 2006 Stock Incentive Plan. Each RSU represents a contingent right to receive one share of Casella's Class A Common Stock. RSUs vest in three equal installments beginning on March 1, 2017.