Filing Details
- Accession Number:
- 0001140361-11-051089
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-11-01 12:18:05
- Reporting Period:
- 2011-10-31
- Filing Date:
- 2011-11-01
- Accepted Time:
- 2011-11-01 12:18:05
- 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 | 2011-10-31 | 14,651 | $14.50 | 14,651 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-10-31 | 14,651 | $33.24 | 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 | 2011-10-31 | 14,651 | $0.00 | 14,651 | $14.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2003-01-01 | 2012-01-01 | 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 | 13,510 | 13,510 | 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 |
|---|---|---|---|
| 13,510 | 13,510 | 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 October 13, 2011.
Billionaire Hedge Funds
