Accession Number: | 0001209191-20-033316 |
Date: | 2020-05-29 |
Issuer: | RITCHIE BROS AUCTIONEERS INC (RBA) |
Original Submission Date: |
WERNER KARL WILLIAM
C/O RITCHIE BROS. AUCTIONEERS INC.
9500 GLENLYON PARKWAY
BURNABY, A1 V5J 0C6
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature 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 |
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 Exercisable | Expiration 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 |
ID | footnote |
---|---|
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. |