Filing Details
- Accession Number:
- 0001246360-21-000068
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-01-12 17:56:17
- Reporting Period:
- 2021-01-08
- Accepted Time:
- 2021-01-12 17:56:17
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1604643 | Evoqua Water Technologies Corp. | AQUA | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1353838 | C Ronald Keating | Evoqua Water Technologies Corp. 210 Sixth Avenue Pittsburgh PA 15222 | President & Ceo | 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 | 2021-01-08 | 400,000 | $4.64 | 854,079 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-01-08 | 391,024 | $29.56 | 463,055 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-01-08 | 8,976 | $30.20 | 454,079 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | 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 | 2021-01-08 | 400,000 | $0.00 | 400,000 | $4.64 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1,243,581 | 2024-12-15 | No | 4 | M | Direct |
Footnotes
- The amount of these securities shown in column 5 of this table includes 94,891 unvested restricted stock units in respect of the issuer's common stock. Subject to Mr. Keating's continued employment with the issuer through the applicable vesting date, 46,330 of these restricted stock units are scheduled to vest in equal installments on each of January 1, 2022 and January 1, 2023 and settle within 30 days of the applicable vesting date; and 48,561 of these restricted stock units are scheduled to vest in equal installments on each of January 1, 2022, January 1, 2023 and January 1, 2024 and settle within 30 days of the applicable vesting date.
- This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by Mr. Keating on December 7, 2020.
- This option is fully vested.
- The price reported in column 4 of this table is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.1200 to $30.1150, inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 4 and 5 to this Form 4.
- The price reported in column 4 of this table is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.1200 to $30.2600, inclusive.
Billionaire Hedge Funds
