Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-20-033316
Date:2020-05-29
Issuer: RITCHIE BROS AUCTIONEERS INC (RBA)
Original Submission Date:

Reporting Person:

WERNER KARL WILLIAM
C/O RITCHIE BROS. AUCTIONEERS INC.
9500 GLENLYON PARKWAY BURNABY, A1 V5J 0C6

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON SHARES 2020-05-29 M 6,556 a $24.07 6,556 direct
COMMON SHARES 2020-05-29 M 25,263 a $32.16 25,263 direct
COMMON SHARES 2020-05-29 S 31,819 d $43.00 0 direct
COMMON SHARES 2020-05-29 M 16,752 a $32.16 16,752 direct
COMMON SHARES 2020-05-29 M 9,112 a $33.79 9,112 direct
COMMON SHARES 2020-05-29 S 25,864 d $43.15 0 direct
COMMON SHARES 2020-05-29 0 $0.00 27,896 indirect
COMMON SHARES 2020-05-29 0 $0.00 1,773 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
EMPLOYEE STOCK OPTION (RIGHT TO BUY) 24.07 2020-05-29 deemed execution date M 6,556 (d) 2026-03-02 common shares 6,556 $24.07 26,222 direct
EMPLOYEE STOCK OPTION (RIGHT TO BUY) 32.16 2020-05-29 deemed execution date M 25,263 (d) 2027-03-02 common shares 25,263 $32.16 0 direct
EMPLOYEE STOCK OPTION (RIGHT TO BUY) 32.16 2020-05-29 deemed execution date M 16,752 (d) 2028-03-01 common shares 16,752 $32.16 8,375 direct
EMPLOYEE STOCK OPTION (RIGHT TO BUY) 33.79 2020-05-29 deemed execution date M 9,112 (d) 2029-03-07 common shares 9,112 $33.79 18,222 direct
Footnotes
IDfootnote
f1 includes all employee stock purchase plan purchases through june 1, 2020.
f2 the option was granted on march 2, 2016 and vests equally in three equal annual installments beginning march 2, 2017.
f3 the option was granted on march 2, 2017 and vests equally in three equal annual installments beginning march 2, 2018.
f4 the option was granted on march 1, 2018 and vests equally in three equal annual installments beginning march 1, 2019.
f5 the option was granted on march 7, 2019 and vests equally in three equal annual installments beginning march 7, 2020.
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