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CASELLA WASTE SYSTEMS INC — Director's Dealing 2013
Dec 17, 2013
30945_dirs_2013-12-17_9834bb8a-52d2-4009-b59a-5adcedb58ed0.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: CASELLA WASTE SYSTEMS INC (CWST)
CIK: 0000911177
Period of Report: 2013-12-13
Reporting Person: CASELLA JOHN W (Director, Chief Executive Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-12-13 | Class A Common Stock | S | 17400 | $5.5828 | Disposed | 286472 | Direct |
| 2013-12-16 | Class A Common Stock | S | 3112 | $5.5352 | Disposed | 283360 | Direct |
| 2013-12-16 | Class A Common Stock | S | 29532 | $5.5316 | Disposed | 253828 | Direct |
| 2013-12-17 | Class A Common Stock | S | 2968 | $5.4891 | Disposed | 250860 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-12-13 | Incentive Stock Option (Right to Buy) | $5.54 | A | 54874 | Acquired | 2023-12-12 | Class A Common Stock (54874) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class B Common Stock | 494100 | Direct |
| Class A Common Stock | 91246 | Indirect |
| Class A Common Stock | 694 | Indirect |
Footnotes
F1: Held by Mr. Casella's spouse. Mr. Casella disclaims beneficial ownership of the securities indicated to the extent to which he does not have an actual pecuniary interest in such securities.
F2: Held in trust for the benefit of Mr. Casella's children. Mr. Casella disclaims beneficial ownership of the securities indicated to the extent to which he does not have an actual pecuniary interest in such securities.
F3: This Class A Common Stock was sold by Mr. Casella for education loan repayment and tax management purposes.