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ASTEC INDUSTRIES INC — Director's Dealing 2013
Oct 11, 2013
32157_dirs_2013-10-11_c9403ad0-c792-4c24-83df-1b403c433fdd.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: 2013-08-30
Reporting Person: PATEK RICHARD A (Group VP Aggregate & Mining)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-08-30 | Phantom Stock | $ | A | 31.4096 | Acquired | Common Stock (31.4096) | Direct | |
| 2013-10-10 | Phantom Stock | $ | A | 38.6996 | Acquired | Common Stock (38.6996) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 856.5302 | Indirect |
| Common Stock | 4763 | Direct |
| Common Stock | 1881 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Options | $19.43 | 2015-03-06 | Common Stock (10000) | 10000 | Direct |
Footnotes
F1: Reported transaction represents the automatic reinvestment of a dividend received on phantom stock held in the reporting person's SERP account as approved by the Company's board of directors.
F2: Reflects restricted stock units (RSUs) that convert to 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 11, 2013.
F4: Reported transaction represents the Company's quarterly contribution to the reporting person's SERP account that was used to acquire Astec stock. Phantom shares are held in a SERP and are payable in cash following the reporting person's termination of employment from Astec.