Rudd Troy's Form 4 filing
Aecom (ACM) · filed Dec 19, 2022
- Accession no.
- 0001415889-22-012774
- Filed
- Dec 19, 2022
- Trade date
- Dec 15-16, 2022
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 3 derivative transactions. Open-market sales total $11.5M. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Rudd TroyCIK 0001653811 | Director, Officer (CHIEF EXECUTIVE OFFICER) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 16, 2022 | Common Stock | MOption exerciseAcquired | +23,224 | $0.00F1 | $0 | 188,945 | Direct | |
| Dec 16, 2022 | Common Stock | AGrant or awardAcquired | +69,672 | $0.00F2 | $0 | 258,617 | Direct | |
| Dec 16, 2022 | Common Stock | MOption exerciseAcquired | +106,196 | $38.72 | +$4,111,909.12 | 364,813 | Direct | |
| Dec 16, 2022 | Common Stock | FTax withholdingDisposed | −42,268 | $82.77 | −$3,498,522.36 | 322,545 | Direct | |
| Dec 16, 2022 | Common Stock | SSaleDisposed | −124,532 | $82.43F5 | −$10,265,172.76 | 198,013 | Direct | |
| Dec 16, 2022 | Common Stock | SSaleDisposed | −14,776 | $83.17F6 | −$1,228,919.92 | 183,237 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 15, 2022 | Common Stock | AGrant or awardAcquired | +36,812 | $0.00 | $0 | 36,812 | Direct | |
| Dec 16, 2022 | Common Stock | MOption exerciseDisposed | −23,224 | –F1 | – | 0 | Direct | |
| Dec 16, 2022 | Common Stock | MOption exerciseDisposed | −106,196 | –F3 | – | 159,291 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Each restricted stock unit represents a contingent right to receive, upon vesting, one share of the Issuer's common stock. These restricted stock units were granted on December 16, 2019, and vested in full on December 16, 2022. The Form 4 filed on December 17, 2019, reported a grant date of December 15, 2019, in error.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.
- F2
Represents shares acquired pursuant to AECOM's Performance Earnings Program under the 2016 Stock Incentive Plan.
Referenced by the price of 1 transaction in Table I.
- F3
Represents the exercise of a stock option that was exercisable in tranches subject to (A) Mr. Rudd's continued employment with the Issuer through the first, second, third, fourth and fifth anniversaries of the 8/15/2020 option grant date, and (B) the volume-weighted average prices of AECOM's common stock on the New York Stock Exchange during any consecutive 20 trading day period exceeding certain price hurdles. The exercise of the stock options reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 29, 2022.
Referenced by the price of 1 transaction in Table II.
- F5
The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $81.92 to $82.91 the majority of which were sold to satisfy the option exercise price and related taxes. The Reporting Person undertakes to provide to the Issuer, any security holder, or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price with the range noted in this footnote. The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 29, 2022.
Referenced by the price of 1 transaction in Table I.
- F6
The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $82.92 to $83.50 the majority of which were sold to satisfy the option exercise price and related taxes. The Reporting Person undertakes to provide to the Issuer, any security holder, or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price with the range noted in this footnote. The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 29, 2022.
Referenced by the price of 1 transaction in Table I.