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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Options (6) | $ 19.09 | 09/07/2018 | M | 5,682 | (7) | 09/13/2018 | Common Stock | 5,682 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CHIN DEAN A ONE LIBERTY PLAZA 7TH FLOOR NEW YORK, NY 10006 |
SVP - Chief Accounting Officer |
By: Barbara L. Smithers, by power of attorney | 09/10/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person. |
(2) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices from 32.15 to 32.96, inclusive. The reporting person undertakes to provide to ABM Industries Incorporated, any security holder of ABM Industries Incorporated, or staff of the Securities and Exchange Commission, upon request, full information regarding the number shares sold at each separate price within the range set forth in footnote 2 of this Form 4. |
(3) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices from 33.16 to 33.98, inclusive. The reporting person undertakes to provide to ABM Industries Incorporated, any security holder of ABM Industries Incorporated, or staff of the Securities and Exchange Commission, upon request, full information regarding the number shares sold at each separate price within the range set forth in footnote 3 of this Form 4. |
(4) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices from 34.01 to 34.84, inclusive. The reporting person undertakes to provide to ABM Industries Incorporated, any security holder of ABM Industries Incorporated, or staff of the Securities and Exchange Commission, upon request, full information regarding the number shares sold at each separate price within the range set forth in footnote 4 of this Form 4. |
(5) | Includes 12,560 RSUs, adjusted to reflect the cumulative effect of fractional shares, 1,490 performance shares earned but not vested with respect to TSR performance shares granted on 9/8/2015 and DERs related thereto. |
(6) | Stock options granted under the 2006 Equity Incentive Plan. |
(7) | 25% exercisable on 9/13/2012 and 25% on the anniversary date of the following three years. |