0001140361-16-057028.txt : 20160308 0001140361-16-057028.hdr.sgml : 20160308 20160308172014 ACCESSION NUMBER: 0001140361-16-057028 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160101 FILED AS OF DATE: 20160308 DATE AS OF CHANGE: 20160308 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: RITCHIE BROS AUCTIONEERS INC CENTRAL INDEX KEY: 0001046102 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 000000000 STATE OF INCORPORATION: A6 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 9500 GLENLYON PARKWAY CITY: BURNABY STATE: A1 ZIP: V5J 0C6 BUSINESS PHONE: 7783315500 MAIL ADDRESS: STREET 1: 9500 GLENLYON PARKWAY CITY: BURNABY STATE: A1 ZIP: V5J 0C6 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wall Randall James CENTRAL INDEX KEY: 0001661932 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-13425 FILM NUMBER: 161492459 MAIL ADDRESS: STREET 1: C/O RITCHIE BROS. AUCTIONEERS INC. STREET 2: 9500 GLENLYON PARKWAY CITY: BURNABY STATE: A1 ZIP: V5J 0C6 3/A 1 doc1.xml FORM 3/A X0206 3/A 2016-01-01 2015-12-31 0 0001046102 RITCHIE BROS AUCTIONEERS INC RBA 0001661932 Wall Randall James C/O RITCHIE BROS. AUCTIONEERS INC. 9500 GLENLYON PARKWAY BURNABY A1 V5J 0C6 BRITISH COLUMBIA, CANADA 0 1 0 0 President, Canada Common Shares 25332 D Common Shares 1786 I Employee Stock Purchase Plan Employee Stock Option (Right to Buy) 22.46 2014-03-11 2024-03-11 Common Shares 7575 D Employee Stock Option (Right to Buy) 24.84 2015-03-10 2022-02-10 Common Shares 22854 D Restricted Share Units ("RSUs") - 2014 Common Shares 2331 D Dividend Equivalent Rights (2014 RSUs) Common Shares 94 D Performance Share Units ("PSUs") - 2014 Common Shares 220 D Dividend Equivalent Rights (2014 PSUs) Common Shares 9 D Date of grant is reflected above. The options vest as follows: 1/3 on the 1st anniversary of the date of grant; 1/3 on the 2nd anniversary of the date of grant; and 1/3 on the 3rd anniversary of the date of grant. The restricted share units vest on 3/11/2017. The cash value of the common shares underlying vested RSUs (determined in accordance with the RBA Restricted Share Unit Plan) will be paid to the reporting person, net of tax, as soon as practicable following the end of the month in which the RSUs vest; provided, that if such payment would occur at any time at which the reporting person may be in possession of undisclosed material information regarding RBA, or at any time at which, pursuant to any securities trading policy of RBA, the reporting person is restricted from trading in RBA securities, unless the Committee otherwise determines, payment will be postponed to the date which is 5 days after the later of (i) the date on which the reporting person is no longer in possession of such information or (ii) the date on which the reporting person is no longer restricted from trading in RBA securities. Each restricted share unit represents a contingent right to receive the economic equivalent of one RBA common share. Each dividend equivalent right represents a contingent right to receive the economic equivalent of one RBA common share. The dividend equivalent rights accrued in respect of one grant of restricted share units, and become exercisable proportionately with the restricted share units to which they relate. The PSUs vest on 3/11/2017. The common shares underlying vested PSUs or the cash value thereof (as determined by the Committee under the RBA pre-2015 Senior Executive Performance Share Unit Plan (and if settled in shares, subject to shareholder approval) will be paid to the reporting person, net of tax, as soon as practicable following the end of the month in which the PSUs vest; provided, that if such payment would occur at any time at which the reporting person may be in possession of undisclosed material information regarding RBA, or at any time at which, pursuant to any securities trading policy of RBA, the reporting person is restricted from trading in RBA securities, unless the Committee otherwise determines, payment will be postponed to the date which is 5 days after the later of i) the date on which reporting person is no longer in possession of material undisclosed information or ii) the date on which reporting person is no longer restricted from trading in RBA securities. Each PSU represents a contingent right to receive the economic equivalent of one RBA common share. Each dividend equivalent right represents a contingent right to receive the economic equivalent of one RBA common share. The dividend equivalent rights accrued in respect of one grant of performance share units, and become exercisable proportionately with the performance share units to which they relate. This holding is being amended to reflect a correction in the calculation of shares granted as of the December 31, 2015 reporting date. /s/ Maria Teresa Punsalan as attorney-in-fact for Randall James Wall 2016-03-08