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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 | $ 24.45 | 11/09/2016 | M | 58,140 | (3) | 12/02/2016 | Common Stock | 58,140 | $ 0 | 0 | D | ||||
Stock Options | $ 27.54 | (4) | 12/08/2017 | Common Stock | 66,561 | 66,561 | D | ||||||||
Stock Options | $ 31.62 | (5) | 03/05/2024 | Common Stock | 638,570 | 638,570 | D | ||||||||
Restricted Stock Units | (2) | (6) | (6) | Common Stock | 50,651 | 50,651 | D | ||||||||
Restricted Stock Units | (2) | (6) | (6) | Common Stock | 17,711 | 17,711 | D | ||||||||
Restricted Stock Units | (2) | (7) | (7) | Common Stock | 111,077 | 111,077 | D | ||||||||
Restricted Stock Units | (2) | (8) | (8) | Common Stock | 154,274 | 154,274 | D | ||||||||
Restricted Stock Unit | (2) | (9) | (9) | Common Stock | 140,375 | 140,375 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Burke Michael S C/O AECOM 1999 AVENUE OF THE STARS, SUITE 2600 LOS ANGELES, CA 90067 |
X | Chairman & CEO |
/s/ Preston Hopson, Attorney-in-Fact for Michael S. Burke | 11/10/2016 | |
**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) | The transaction in this Form 4 was made pursuant to a 10b5-1 trading plan adopted on September 12, 2016, solely to cover the option cost, taxes, and other fees related to the exercise of the stock option. After the transaction, the remaining net shares of 5,040 continue to be held by the filer, Michael S. Burke. |
(2) | Each restricted stock unit represents a contingent right to receive one share of AECOM common stock. |
(3) | The stock option vests in three equal annual installments beginning on December 2, 2010. |
(4) | The stock option vests in three equal annual installments beginning on December 8, 2011. |
(5) | The option becomes exercisable, if at all, beginning on March 5, 2019 subject to (A) continued employment and (B) the average daily closing price of AECOM's common stock on the New York Stock Exchange during any consecutive 20 trading day period exceeding certain price hurdles. |
(6) | The restricted stock units vest in December 2016. |
(7) | The restricted stock units vest in December 2017. |
(8) | The restricted stock units vest in three equal annual installments beginning November 2017. |
(9) | The restricted stock units vest in December 2018. |