Filing Details
- Accession Number:
- 0001140361-10-030231
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-07-26 13:00:00
- Reporting Period:
- 2010-07-23
- Filing Date:
- 2010-07-26
- Accepted Time:
- 2010-07-26 14:48:37
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 792987 | Astec Industries Inc | ASTE | Construction Machinery & Equip (3531) | 620873631 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1138525 | A Richard Patek | 1725 Shepherd Rd Chattanooga TN 37421 | Pres-Telsmith & Grp Vp Agg | 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 | 2010-07-23 | 18,500 | $12.97 | 18,500 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2010-07-23 | 18,500 | $31.01 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Options | Disposition | 2010-07-26 | 18,500 | $0.00 | 18,500 | $12.97 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2002-01-01 | 2011-01-01 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 825 | Indirect | by 401(k) Plan |
| Common Stock | 6,000 | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Phantom Stock | $0.00 | 12,496 | 12,496 | Direct | ||
| Common Stock | Stock Options | $14.50 | 2003-01-01 | 2012-01-01 | 14,651 | 14,651 | Direct |
| Common Stock | Stock Options | $19.43 | 2006-03-06 | 2015-03-06 | 10,000 | 10,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 12,496 | 12,496 | Direct | |
| 2012-01-01 | 14,651 | 14,651 | Direct |
| 2015-03-06 | 10,000 | 10,000 | Direct |
Footnotes
- Phantom shares are held in a SERP and are payable in cash following the reporting person's termination of employment from Astec.
- Restricted Stock Units convert into common stock on a one-for-one basis at a later date.
- Shares held in the reporting person's 401k account are based upon a Plan statement dated July 9, 2010.
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