Filing Details
- Accession Number:
- 0001246360-20-001612
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-10-07 18:21:17
- Reporting Period:
- 2020-10-05
- Accepted Time:
- 2020-10-07 18:21:17
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1604643 | Evoqua Water Technologies Corp. | AQUA | Refrigeration & Service Industry Machinery (3580) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1612398 | M. James Kohosek | Evoqua Water Technologies Corp. 210 Sixth Avenue Suite 3300 Pittsburgh PA 15222 | Evp, Chief Admin. Officer | No | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2020-10-05 | 30,000 | $7.42 | 95,863 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-10-05 | 12,202 | $7.42 | 108,065 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-10-05 | 12,202 | $22.00 | 95,863 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-10-05 | 30,000 | $22.50 | 65,863 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-10-06 | 30,000 | $7.42 | 95,863 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-10-06 | 30,000 | $23.00 | 65,863 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-10-05 | 12,202 | $0.00 | 12,202 | $7.42 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-10-05 | 30,000 | $0.00 | 30,000 | $7.42 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-10-06 | 30,000 | $0.00 | 30,000 | $7.42 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 61,309 | 2026-11-29 | No | 4 | M | Direct | |
| 118,266 | 2026-12-19 | No | 4 | M | Direct | |
| 88,266 | 2026-12-19 | No | 4 | M | Direct |
Footnotes
- The amount of these securities shown in column 5 of this table includes 13,748 unvested restricted stock units in respect of the issuer's common stock. These restricted stock units are scheduled to vest as described in the Form 4 filed by Mr. Kohosek on February 19, 2020.
- This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by Mr. Kohosek on August 18, 2020.
- This option is fully vested.
- Mr. Kohosek's option is vested with respect to 111,199 underlying shares and will vest with respect to the remaining underlying shares on January 1, 2021.
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