Filing Details
- Accession Number:
- 0001179110-11-010179
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-06-28 17:28:39
- Reporting Period:
- 2011-06-24
- Filing Date:
- 2011-06-28
- Accepted Time:
- 2011-06-28 17:28:39
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 911177 | Casella Waste Systems Inc | CWST | Refuse Systems (4953) | 030338873 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1055352 | W John Casella | C/O Casella Waste Systems 25 Greens Hill Lane Rutland VT 05701 | Chief Executive Officer | Yes | Yes | 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Acquisiton | 2011-06-10 | 13,423 | $0.00 | 258,204 | No | 4 | M | Direct | |
| Class A Common Stock | Acquisiton | 2011-06-11 | 17,863 | $0.00 | 276,067 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2011-06-24 | 11,280 | $5.13 | 264,787 | 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Restricted Stock Unit | Acquisiton | 2011-06-10 | 13,423 | $0.00 | 13,423 | $0.00 |
| Class A Common Stock | Restricted Stock Unit | Acquisiton | 2011-06-11 | 17,863 | $0.00 | 17,863 | $0.00 |
| Class A Common Stock | Restricted Stock Unit | Acquisiton | 2011-06-14 | 22,993 | $0.00 | 22,993 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 13,423 | No | 4 | M | Direct | ||
| 35,726 | No | 4 | M | Direct | ||
| 22,993 | No | 4 | A | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Class A Common Stock | 694 | Indirect | See Footnote |
| Class B Common Stock | 494,100 | Direct | |
| Class A Common Stock | 91,246 | Indirect | See Footnote |
Footnotes
- Represents the award of Restricted Stock Units ("RSUs") under the Casella Waste Systems, Inc. ("Casella") 2006 Stock Incentive Plan. Each RSU represents a contingent right to receive one share of Casella's Class A Common Stock.
- RSUs vest in three equal annual installments beginning June 10, 2011. These RSUs are being reported upon the first vesting date pursuant to Section 16(a) of the Securities Exchange Act of 1934 and applicable regulations thereunder.
- RSUs vest in three equal installments beginning on June 11, 2010. These RSUs are being reported upon the second vesting anniversary pursuant to Section 16(a) of the Securities Exchange Act of 1934 and applicable regulations thereunder.
- Held 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.
- Held in trust for the benefit of Mr. Casella's minor children. 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.
- Reflects the settlement of vested RSUs for shares of Class A Common Stock.
- RSUs vest in three equal annual installments beginning June 14, 2012. These RSUs will be reported upon vesting pursuant to Section 16(a) of the Securities Exchange Act of 1934 and applicable regulations thereunder.
- Previously reported on June 16, 2011.
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