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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CASELLA JOHN W C/O CASELLA WASTE SYSTEMS 25 GREENS HILL LANE RUTLAND, VT 05701 |
X | Chief Executive Officer |
/s/ John W. Casella | 04/30/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Represents the Restricted Stock Unit (RSU) award granted on February 24, 2015, and previously reported on February 26, 2015. Each RSU represents a contingent right to receive one share of Casella's Class A Common Stock. RSU's vest in three equal installments beginning on February 24, 2016. |
(2) | This amendment is being filed solely to correct the number of shares of Class A Common Stock directly beneficially owned. The number of shares of Class A Common Stock directly beneficially owned shown in Table I, column 5 of the Form 4 filed on February 26, 2015 (the "Original Form 4") inadvertently omitted 95,052 shares of Class A Common Stock. The number of shares of Class A Common Stock directly beneficially owned as shown in Table I, column 5 of this amendment represents the correct number of shares of Class A common stock directly beneficially owned by Mr. Casella following the transaction previously reported in the Original Form 4. |
(3) | 91,940 shares omitted in the Table I, column 5 direct beneficial ownership total of the Original Form 4 were also incorrectly omitted from the direct beneficial ownership total reported, if applicable, in the Form 4s filed by Mr. Casella from December 17, 2009 through July 7, 2014 and the Form 5 filed by Mr. Casella on June 13, 2014 (the "Form 5"). An additional 3,112 shares omitted in the Table I, column 5 direct beneficial ownership total of the Original Form 4 were also incorrectly omitted from the direct beneficial ownership total reported, if applicable, in the Form 4s filed by Mr. Casella from December 17, 2013 through July 7, 2014 and the Form 5. |