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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 Appreciation Right | (1) | 04/22/2016 | A | 52,000 | (3) | 04/22/2026 | Common Stock | 52,000 | $ 0 | 52,000 | D | ||||
Stock Option (Right to Buy) | (2) | 04/22/2016 | A | 17,500 | (3) | 04/22/2026 | Common Stock | 17,500 | $ 0 | 17,500 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Lewis Robert M C/O ERICKSON INCORPORATED 5550 SW MACADAM AVENUE, SUITE 200 PORTLAND, OR 97239 |
X | VP, Commercial Aviation |
/s/ Robert Lewis by Nichole Tennyson, Attorney-in-Fact | 04/26/2016 | |
**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 reporting person received a Stock Appreciation Rights Award (SAR) granted under the Company's 2012 Long-Term Incentive Plan. One-third (1/3) of such SAR shall have an exercise price of $1.54, One-third (1/3) of such SAR shall have an exercise price of $4.04, and One-third (1/3) of such SAR shall have an exercise price of $6.54. |
(2) | The reporting person received a Nonqualified Stock Option granted under the Company's 2012 Long-Term Incentive Plan. One-third (1/3) of such stock option shall have an exercise price of $1.54, One-third (1/3) of such stock option shall have an exercise price of $4.04, and One-third (1/3) of such stock option shall have an exercise price of $6.54. |
(3) | These SAR and stock options shall vest as to 20% on each of April 22, 2017, April 22, 2018, April 22, 2019, April 22, 2020, and April 22, 2021, subject to the reporting person's continuous service to the issuer through each such date. |