Pike Corp|4Sep 16, 5:21 PM ET

Pike Corp 4

4 · Pike Corp · Filed Sep 16, 2014

Form 4

Period: 2014-09-12

DirectorChairman, CEO and President

Transactions

Tax Payment
Common Stock
2014-09-12$11.97/sh−259,232$3,103,007→ 521,773 total
Exercise/Conversion
Option to buy
2014-09-12−343,746→ 0 total
Exercise: $6.51Exp: 2014-10-21→ Common Stock (343,746 underlying)
Exercise/Conversion
Common Stock
2014-09-12$6.51/sh+343,746$2,237,786→ 781,005 total

Holdings

Option to buy
Exercise: $14.25Exp: 2018-10-01→ Common Stock (98,475 underlying)
98,475
Option to buy
Exercise: $11.33Exp: 2019-09-01→ Common Stock (112,917 underlying)
112,917
Restricted Stock Units
Exercise: $0.00→ Common Stock (20,847 underlying)
20,847
Option to buy
Exercise: $14.00Exp: 2015-07-27→ Common Stock (428,571 underlying)
428,571
Option to buy
Exercise: $18.41Exp: 2016-11-01→ Common Stock (27,159 underlying)
27,159
Restricted Stock Units
Exercise: $0.00→ Common Stock (69,012 underlying)
69,012
Common Stock
(indirect: See footnote)
67,467
Common Stock
(indirect: See footnote)
1,549,253
Option to buy
Exercise: $9.61Exp: 2021-03-01→ Common Stock (116,603 underlying)
116,603
Option to Buy
Exercise: $9.22Exp: 2022-03-01→ Common Stock (130,108 underlying)
130,108

Footnotes (9)

[F1]The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 21, 2011.
[F2]Represents shares delivered upon the exercise of employee stock options.
[F3]Represents shares withheld to pay the exercise price of the stock options and shares withheld to satisfy the reporting person's tax liability in connection with the exercise of the options.
[F4]These shares are owned directly by the Joe B./Anne A. Pike Generation Skipping Trust, of which Mr. Pike is a trustee. Mr. Pike expressly disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
[F5]These shares are owned directly by Takuan, LLC, an entity controlled by Mr. Pike.
[F6]All of these options are vested and exercisable.
[F7]These restricted stock units vest on February 1, 2015 and, pursuant to the terms of the grant, will be settled in cash.
[F8]86,738 of these options are vested and exercisable and 43,370 of these options vest on March 1, 2015.
[F9]These restricted stock units vest in equal amounts on January 30 of each of 2015 and 2016 and, pursuant to the terms of the grant, will be settled in cash.

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