FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
AECOM [ ACM ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 10/05/2017 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 10/05/2017 | M(1) | 66,561 | A | $27.54 | 220,923 | D | |||
Common Stock | 10/05/2017 | S | 56,800 | D | $36.86(2) | 164,123 | D | |||
Common Stock | 38,910.485 | I | by Merrill Lynch under AECOM Retirement & Savings Plan (RSP) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Options | $27.54 | 10/05/2017 | M | 66,561 | 10/05/2017 | 12/08/2017 | Common Stock | 66,561 | $0 | 0 | D | ||||
Stock Options | $31.62 | (4) | 03/05/2024 | Common Stock | 638,570 | 638,570 | D | ||||||||
Restricted Stock Unit | (3) | (5) | (5) | Common Stock | 111,077 | 111,077 | D | ||||||||
Restricted Stock Units | (3) | (6) | (6) | Common Stock | 154,274 | 154,274 | D | ||||||||
Restricted Stock Units | (3) | (7) | (7) | Common Stock | 140,375 | 140,375 | D | ||||||||
Restricted Stock Units | (3) | (8) | (8) | Common Stock | 115,304 | 115,304 | D |
Explanation of Responses: |
1. The sale in this Form 4 was made pursuant to a 10b5-1 trading plan adopted on September 1, 2017 solely to cover the option cost, taxes and other fees related to the exercise of the stock option that would have expired on December 8, 2017. After the transaction, the remaining 9,761 net shares continue to be held by Michael S. Burke. |
2. This transaction was executed in multiple trades at prices ranging from $36.46 to $36.92. 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. |
3. Each restricted stock unit represents a contingent right to receive one share of AECOM common stock. |
4. 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. |
5. The restricted stock units vest in December 2017. |
6. The restricted stock units vest in three equal annual installments beginning on November 2017. |
7. The restricted stock units vest in December 2018. |
8. The restricted stock units vest in December 2019. |
/s/ Preston Hopson, Attorney-in-Fact for Michael S. Burke | 10/06/2017 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |