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ASTEC INDUSTRIES INC — Director's Dealing 2011
Nov 1, 2011
32157_dirs_2011-11-01_0120db12-34bb-424d-9672-974f5960511d.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ASTEC INDUSTRIES INC (ASTE)
CIK: 0000792987
Period of Report: 2011-10-31
Reporting Person: PATEK RICHARD A (Pres-Telsmith & Grp VP Agg)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-10-31 | Common Stock | M | 14651 | $14.5 | Acquired | 14651 | Direct |
| 2011-10-31 | Common Stock | S | 14651 | $33.2402 | Disposed | 0 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2011-10-31 | Stock Options | $14.5 | M | 14651 | Disposed | 2012-01-01 | Common Stock (14651) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 825.1206 | Indirect |
| Common Stock | 6000 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Phantom Stock | $ | Common Stock (13509.5258) | 13509.5258 | Direct | |
| Stock Options | $19.43 | 2015-03-06 | Common Stock (10000) | 10000 | Direct |
Footnotes
F1: Phantom shares are held in a SERP and are payable in cash following the reporting person's termination of employment from Astec.
F2: Restricted Stock Units convert into common stock on a one-for-one basis at a later date.
F3: Shares held in the reporting person's 401k account are based upon a Plan statement dated October 13, 2011.
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