0001140361-16-057030.txt : 20160308
0001140361-16-057030.hdr.sgml : 20160308
20160308172142
ACCESSION NUMBER: 0001140361-16-057030
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: Werner Karl William
CENTRAL INDEX KEY: 0001661696
FILING VALUES:
FORM TYPE: 3/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13425
FILM NUMBER: 161492489
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
0001661696
Werner Karl William
C/O RITCHIE BROS. AUCTIONEERS INC.
9500 GLENLYON PARKWAY
BURNABY
A1
V5J 0C6
BRITISH COLUMBIA, CANADA
0
1
0
0
Ch. Op. & Supp. Dev. Officer
Common Shares
27896
I
Long-Term Investment Plan
Common Shares
2451
I
ESPP
Employee Stock Option (Right to Buy)
18.67
2007-03-01
2017-03-01
Common Shares
6900
D
Employee Stock Option (Right to Buy)
24.39
2008-02-28
2018-02-28
Common Shares
5400
D
Employee Stock Option (Right to Buy)
14.50
2009-03-05
2019-03-05
Common Shares
10900
D
Employee Stock Option (Right to Buy)
21.82
2010-03-11
2020-03-11
Common Shares
6400
D
Employee Stock Option (Right to Buy)
25.91
2011-03-03
2021-03-11
Common Shares
9600
D
Employee Stock Option (Right to Buy)
23.44
2012-03-06
2022-03-11
Common Shares
9500
D
Employee Stock Option (Right to Buy)
21.34
2013-03-05
2023-03-05
Common Shares
13600
D
Employee Stock Option (Right to Buy)
22.46
2014-03-11
2024-03-11
Common Shares
16284
D
Employee Stock Option (Right to Buy)
24.84
2015-03-10
2022-03-10
Common Shares
27778
D
Restricted Share Units ("RSUs") - 2013
Common Shares
3028
D
Dividend Equivalent Rights (2013 RSUs)
Common Shares
200
D
Restricted Share Units ("RSUs") - 2014
Common Shares
5010
D
Dividend Equivalent Rights (2014 RSUs)
Common Shares
201
D
Performance Share Units ("PSUs") - 2013
Common Stock
437
D
Dividend Equivalent Rights (2013 PSUs)
Common Stock
29
D
Performance Share Units ("PSUs") - 2014
Common Stock
473
D
Dividend Equivalent Rights (2014 PSUs)
Common Stock
19
D
The date reflected is the initial grant date. The options were subject to a vesting schedule at the time of grant but are fully vested as of the date of this Form 3 report.
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 3/4/2016. 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 restricted share units vest on 3/10/2017. 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.
The PSUs vest on 3/4/2016. 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.
The PSUs vest on 3/10/2017. 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.
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 Karl William Werner
2016-03-08