0001209191-16-107433.txt : 20160309 0001209191-16-107433.hdr.sgml : 20160309 20160309175323 ACCESSION NUMBER: 0001209191-16-107433 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160304 FILED AS OF DATE: 20160309 DATE AS OF CHANGE: 20160309 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: McLeod Robert Alastair CENTRAL INDEX KEY: 0001661708 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13425 FILM NUMBER: 161495636 MAIL ADDRESS: STREET 1: C/O RITCHIE BROS. AUCTIONEERS INC. STREET 2: 9500 GLENLYON PARKWAY CITY: BURNABY STATE: A1 ZIP: V5J 0C6 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-03-04 0 0001046102 RITCHIE BROS AUCTIONEERS INC RBA 0001661708 McLeod Robert Alastair C/O RITCHIE BROS. AUCTIONEERS INC. 9500 GLENLYON PARKWAY BURNABY A1 V5J 0C6 BRITISH COLUMBIA, CANADA 0 1 0 0 Chief Bus. Dev. Officer Common Shares 2016-03-04 4 M 0 3585 A 9985 D Common Shares 2016-03-04 4 M 0 263 A 10248 D Common Shares 2016-03-04 4 M 0 5385 A 15633 D Common Shares 2016-03-04 4 M 0 395 A 16028 D Common Shares 2016-03-04 4 D 0 9628 23.33 D 6400 D Common Shares 19029 I Long-Term Investment Plan Common Shares 11157 I Employee Stock Purchase Plan Common Shares 1856 I Held by spouse 2013 DER PSU 2016-03-04 4 A 0 26 0.00 A Common Shares 26 263 D 2013 DER RSU 2016-03-04 4 A 0 39 0.00 A Common Shares 39 395 D 2014 DER PSU 2016-03-04 4 A 0 21 0.00 A Common Shares 21 141 D 2014 DER RSU 2016-03-04 4 A 0 35 0.00 A Common Shares 35 230 D 2013 PSUs 2016-03-04 4 M 0 3585 0.00 D Common Shares 3585 0 D 2013 DER PSU 2016-03-04 4 M 0 263 0.00 D Common Shares 263 0 D 2013 RSU 2016-03-04 4 M 0 5385 0.00 D Common Shares 5385 0 D 2013 DER RSU 2016-03-04 4 M 0 395 0.00 D Common Shares 395 0 D Each PSU and DER represented a contingent right to receive the economic equivalent of one RBA common share. The PSUs and DERs vested on 3/4/2016. As determined by the Compensation Committee, the cash value of the common shares underlying the vested PSUs and DERs (determined in accordance with the RBA pre-2015 Performance Share Unit Plan) will be paid to the reporting person, net of applicable tax, as soon as practicable following the end of the month in which the PSUs and DERs vested Each RSU and DER represented a contingent right to receive the economic equivalent of one RBA common share. The RSUs and DERs vested on 3/4/2016. As determined by the Compensation Committee, the cash value of the common shares underlying the vested RSUs and DERs (determined in accordance with the RBA Restricted Share Unit Plan) will be paid to the reporting person, net of applicable tax, as soon as practicable following the end of the month in which the RSUs and DERs vested. Updated to include all Employee Stock Purchase Plan purchases through February 29, 2016. Dividend Equivalent Rights ("DER") for 2013 Performance Share Units 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 the 2013 grant of performance share units under the pre-2015 Performance Share Unit Plan, and become exercisable proportionately with the performance share units to which they relate. Excludes dividend equivalent rights that relate to performance share units for which the performance criteria has not been satisfied. Dividend Equivalent Rights ("DER")for 2013 Restricted Share Units 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 the 2013 grant of restricted share units, and become exercisable proportionately with the restricted share units to which they relate. Dividend Equivalent Rights ("DER") for 2014 Performance Share Units 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 the 2014 grant of performance share units under the pre-2015 Performance Share Unit Plan, and become exercisable proportionately with the performance share units to which they relate. Excludes dividend equivalent rights that relate to performance share units for which the performance criteria has not been satisfied. Dividend Equivalent Rights ("DER") for 2014 Restricted Share Units 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 the 2014 grant of restricted share units, and become exercisable proportionately with the restricted share units to which they relate. Performance Share Units ("PSUs") - 2013 Restricted Share Units ("RSUs") - 2013 Maria Teresa Punsalan as attorney-in-fact for Robert Alastair McLeod 2016-03-09