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RB GLOBAL INC. — Director's Dealing 2017
Mar 14, 2017
30295_dirs_2017-03-14_15042e18-c420-4ddd-a46f-8f6a0a4bbc4c.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: RITCHIE BROS AUCTIONEERS INC (RBA)
CIK: 0001046102
Period of Report: 2017-03-10
Reporting Person: Wall Randall James (President, Canada)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-03-10 | Common Shares | M | 1797 | — | Acquired | 1797 | Direct |
| 2017-03-10 | Common Shares | M | 122 | — | Acquired | 1919 | Direct |
| 2017-03-10 | Common Shares | M | 2331 | — | Acquired | 4250 | Direct |
| 2017-03-10 | Common Shares | M | 158 | — | Acquired | 4408 | Direct |
| 2017-03-10 | Common Shares | D | 4408 | $32.72 | Disposed | 0 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-03-10 | 2014 DER PSU | $ | M | 122 | Disposed | Common Shares (122) | Direct | |
| 2017-03-10 | 2014 PSUs | $ | M | 1797 | Disposed | Common Shares (1797) | Direct | |
| 2017-03-10 | 2014 DER RSU | $ | M | 158 | Disposed | Common Shares (158) | Direct | |
| 2017-03-10 | 2014 RSU | $ | M | 2331 | Disposed | Common Shares (2331) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Shares | 25332 | Direct |
| Common Shares | 2655 | Indirect |
Footnotes
F1: Each PSU and DER represented a contingent right to receive the economic equivalent of one RBA common share. The PSUs and DERs vested on 3/10/2017. As determined by the Compensation Committee, the cash value of the common shares underlying the vested PSUs and DERs (determined in accordance with the RBA pre-2015 Performance Share Unit Plan) will be paid to the reporting person, net of applicable tax, as soon as practicable following the end of the month in which the PSUs and DERs vested
F2: Each RSU and DER represented a contingent right to receive the economic equivalent of one RBA common share. The RSUs and DERs vested on 3/10/2017. As determined by the Compensation Committee, the cash value of the common shares underlying the vested RSUs and DERs (determined in accordance with the RBA Restricted Share Unit Plan) will be paid to the reporting person, net of applicable tax, as soon as practicable following the end of the month in which the RSUs and DERs vested.
F3: Updated to include all Employee Stock Purchase Plan purchases through March 10, 2017.
F4: Dividend Equivalent Rights ("DER") for 2014 Performance Share Units
F5: Performance Share Units ("PSUs") - 2014
F6: Dividend Equivalent Rights ("DER") for 2014 Restricted Share Units
F7: Restricted Share Units ("RSUs") - 2014