Filing Details

Accession Number:
0000005768-14-000034
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-07-09 17:09:30
Reporting Period:
2014-07-07
Filing Date:
2014-07-09
Accepted Time:
2014-07-09 16:09:30
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
5768 American Science & Engineering Inc. ASEI X-Ray Apparatus & Tubes & Related Irradiation Apparatus (3844) 042240991
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1352964 Kenneth Galaznik American Science And Engineering, Inc.
829 Middlesex Turnpike
Billerica MA 01821
Svp & Cfo No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2014-07-07 673 $53.55 14,572 No 4 M Direct
Common Stock Acquisiton 2014-07-07 1,027 $52.82 15,599 No 4 M Direct
Common Stock Acquisiton 2014-07-07 900 $51.56 16,499 No 4 M Direct
Common Stock Disposition 2014-07-07 1,500 $68.14 14,999 No 4 S Direct
Common Stock Disposition 2014-07-07 1,999 $69.07 13,000 No 4 S Direct
Common Stock Disposition 2014-07-07 100 $70.00 12,900 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
No 4 M Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Comon Stock Employee Stock Option (right to buy) Disposition 2014-07-07 673 $0.00 673 $53.55
Common Stock Employee Stock Option (right to buy) Disposition 2014-07-07 1,027 $0.00 1,027 $52.82
Common Stock Employee Stock Option (right to buy) Disposition 2014-07-07 900 $0.00 900 $51.56
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2015-11-01 No 4 M Direct
0 2016-06-20 No 4 M Direct
574 2018-06-12 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 422 Indirect By 401(k) Plan
Footnotes
  1. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 6, 2014
  2. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from a low of $67.82 to a high of $68.35 for an average of $68.142. The reporting person undertakes to provide to American Science and Engineering, Inc., any security holder of American Science and Engineering, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.
  3. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from a low of $68.85 to a high of $69.50 for an average of $69.0743. The reporting person undertakes to provide to American Science and Engineering, Inc., any security holder of American Science and Engineering, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.
  4. Includes 422 shares of AS&E common stock acquired under the AS&E 401(k) Plan. The information in this report is based on a plan statement dated as of July 9, 2014
  5. The option vested on March 31, 2007 based upon the achievement of certain predetermined performance criteria.
  6. The option vested on March 31, 2009 based upon the achievement of certain predetermined performance criteria.
  7. On June 12, 2008, the reporting person was granted an option to purchase 1,474 shares of common stock. The option vests based on satisfaction of certain performance criteria. The performance criteria were met with respect to 983 shares of common stock on March 31, 2010 and 491 shares of common stock on March 31, 2011.