SEC Form 4 · accession 0001179110-18-004467
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 15, 2018
Accepted (ET)
Mar 16, 2018 · 4:41 pm EDT
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 15, 2018 | M | 37,920 | $5.54 | A | 443,958 | D | |
| Class B Common Stock | holding | — | — | — | 494,100 | D | ||
| Class A Common StockF1 | holding | — | — | — | 694 | I | See Footnote |
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)F2 | $5.54 | Mar 15, 2018 | M | 37,920 | A | — | Dec 12, 2023 | Class A Common Stock | 37,920 | 0 | D |
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.
- F2The option vested in three equal installments on December 13, 2014, 2015, 2016.