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CASELLA WASTE SYSTEMS INC — Director's Dealing 2019
May 7, 2019
30945_dirs_2019-05-07_0086679d-4315-450d-ae56-da8cc5f91661.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: 2019-05-03
Reporting Person: CASELLA JOHN W (Director, Chief Executive Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2019-05-03 | Class A Common Stock | M | 16230 | $5.54 | Acquired | 422204 | Direct |
| 2019-05-03 | Class A Common Stock | M | 8012 | $12.48 | Acquired | 430216 | Direct |
| 2019-05-03 | Class A Common Stock | S | 45124 | $37.312 | Disposed | 385092 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2019-05-03 | Employee Stock Option (right to buy) | $5.54 | M | 16230 | Acquired | 2023-12-13 | Class A Common Stock (16230) | Direct |
| 2019-05-03 | Employee Stock Option (right to buy) | $12.48 | M | 8012 | Acquired | 2026-11-17 | Class A Common Stock (8012) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class B Common Stock | 494100 | Direct |
| 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: Represents the weighted average sales price for shares sold in multiple transactions, ranging from $36.95 to $37.89. Upon request of the staff of the Securities and Exchange Commission, the issuer or a security holder of the issuer, the reporting person will provide full information regarding the number of shares sold at each separate price.
F3: The option vested in one third increments; one third on December 13, 2014, one third on December 13, 2015 and one third on December 13, 2016.
F4: The option vested on February 20, 2019.