0001209191-21-016796.txt : 20210303 0001209191-21-016796.hdr.sgml : 20210303 20210303160311 ACCESSION NUMBER: 0001209191-21-016796 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210228 FILED AS OF DATE: 20210303 DATE AS OF CHANGE: 20210303 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Werner Karl William CENTRAL INDEX KEY: 0001661696 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-13425 FILM NUMBER: 21708865 MAIL ADDRESS: STREET 1: C/O RITCHIE BROS. AUCTIONEERS INC. STREET 2: 9500 GLENLYON PARKWAY CITY: BURNABY STATE: A1 ZIP: V5J 0C6 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 4/A 1 doc4a.xml FORM 4/A SUBMISSION X0306 4/A 2021-02-28 2021-03-02 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 President, International Common Shares 2021-02-28 4 M 0 12429 A 16008 D Common Shares 2021-02-28 4 M 0 654 A 16662 D Common Shares 27896 I Long-Term Investment Plan Common Shares 2221 I Employee Stock Purchase Plan Performance Share Units (2018 PSUs) 2021-02-28 4 M 0 12429 0.00 D Common Shares 12429 0 D Dividend Equivalent Rights (2018 PSUs) 2021-02-28 4 M 0 654 0.00 D Common Shares 654 0 D Represents pre-tax amount of award. Share issuance will be made net of tax withholding ("TW"). Due to a clerical error, amount of securities issued corrected from 3,400 to 12,429. Due to clerical error, this was previously reported as RSU and DER. Now corrected to - Each PSU and DER represented a contingent right to receive one RBA common share or the economic equivalent thereof. The PSUs and DERs vested on February 28, 2021(corrected as the previous filing stated vest date as March 1, 2021), the PSUs and DERs will be settled in common shares issued to the reporting person, net applicable tax, as soon as practicable Due to a clerical error, amount of securities issued corrected from 179 to 654. Includes all Employee Stock Purchase Plan purchases through February 28, 2021. Due to a clerical error, title of derivative security corrected from 2018 RSU to 2018 PSU. Due to a clerical error, title of derivative security corrected from Dividend Equivalent Rights 2018 RSU to Dividend Equivalent Rights 2018 PSU. /s/ Maria Teresa Punsalan as attorney-in-fact for Karl William Werner. 2021-03-03