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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 | ||||||||
Restricted Stock Units | (1) | 03/06/2014 | M | 3,537 | (1) | (1) | Common Stock | 3,537 | (1) | 0 | D | ||||
Restricted Stock Units | (5) | 03/05/2014 | A | 4,112 | (6) | (6) | Common Stock | 4,112 | $ 0 | 4,112 | D | ||||
Employee Stock Option | $ 23.94 | (7) | 12/01/2015 | Common Stock | 49,141 | 49,141 | I | by R&C Newman Revocable Trust | |||||||
Employee Stock Option | $ 24.45 | (8) | 12/02/2016 | Common Stock | 15,989 | 15,989 | I | by R&C Newman Revocable Trust | |||||||
Employee Stock Option | $ 25.38 | 03/31/2011 | 05/28/2017 | Common Stock | 14,558 | 14,558 | I | by R&C Newman Revocable Trust | |||||||
Employee Stock Option | $ 28.44 | 03/03/2012 | 03/03/2018 | Common Stock | 13,416 | 13,416 | I | by R&C Newman Revocable Trust |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
NEWMAN RICHARD G C/O AECOM TECHNOLOGY CORPORATION 555 S. FLOWER STREET, SUITE 3700 LOS ANGELES, CA 90071 |
X |
/s/ David Y. Gan, Attorney-in-Fact for Richard G. Newman | 03/07/2014 | |
**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) | Each restricted stock unit represents a contingent right to receive one share of AECOM common stock. On March 6, 2014, 3,537 of the reporting person's restricted stock units vested and were settled for an equal number of shares of AECOM common stock. |
(2) | The sales in this Form 4 were made pursuant to a 10b5-1 trading plan adopted on December 13, 2013. |
(3) | This transaction was executed in multiple trades at prices ranging from $32.00 to $ 32.12. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
(4) | This transaction involved a gift of securities by the reporting person to his son, who shares the reporting person's household. The reporting person disclaims beneficial ownership of the shares held by his son, and this report should not be deemed an admission that the reporting person is the beneficial owner of his son's shares for purposes of Section 16 or for any other purpose. |
(5) | Each restricted stock unit represents a contingent right to receive one share of AECOM common stock. |
(6) | The restricted stock units vest on March 7, 2015. |
(7) | The option vested in three equal annual installments beginning on December 1, 2009. |
(8) | The option vested in three equal annual installments beginning on December 2, 2010. |