SEC Form 4 · accession 0001179110-17-015367
CASELLA WASTE SYSTEMS INC · CWST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edwin D Johnson
Officer — President & COO
Period of report
Dec 12, 2017
Accepted (ET)
Dec 14, 2017 · 4:17 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 | Dec 12, 2017 | M | 200,000 | $3.81 | A | 469,500 | D | |
| Class A Common Stock | Dec 12, 2017 | F | 36,564 | $20.84 | D | 432,936 | D | |
| Class A Common Stock | Dec 12, 2017 | M | 50,000 | $4.00 | A | 482,936 | D | |
| Class A Common Stock | Dec 12, 2017 | F | 9,597 | $20.84 | D | 473,339 | D | |
| Class A Common StockF2 | Dec 13, 2017 | S | 23,345 | $21.0282 | D | 449,994 | D | |
| Class A Common StockF3 | Dec 14, 2017 | S | 75,746 | $21.0016 | D | 374,248 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F1 | $3.81 | Dec 12, 2017 | M | 200,000 | D | — | Jul 6, 2020 | Class A Common Stock | 200,000 | 0 | D |
| Employee Stock Option (right to buy) | $4.00 | Dec 12, 2017 | M | 50,000 | D | Dec 5, 2015 | Dec 5, 2022 | Class A Common Stock | 50,000 | 72,466 | D |
Explanation of responses
- F1This option vested in three equal installments on July 6, 2011, July 6, 2012 and July 6, 2013.
- F2Represents the weighted average sales price for shares sold in multiple transactions, at prices ranging from $21.00 to $21.12, inclusive. Upon request of the staff of the Securities and Exchange Commission, the issuer or a security holder of the issuer, the reporting person will provide full information regarding the number of shares sold at each separate price.
- F3Represents the weighted average sales price for shares sold in multiple transactions, at prices ranging from $21.00 to $21.07, inclusive. Upon request of the staff of the Securities and Exchange Commission, the issuer or a security holder of the issuer, the reporting person will provide full information regarding the number of shares sold at each separate price.