0001140361-11-037684.txt : 20110721 0001140361-11-037684.hdr.sgml : 20110721 20110721201237 ACCESSION NUMBER: 0001140361-11-037684 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031205 FILED AS OF DATE: 20110721 DATE AS OF CHANGE: 20110721 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ADANTE DAVID E CENTRAL INDEX KEY: 0001247521 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-11917 FILM NUMBER: 11980975 MAIL ADDRESS: STREET 1: 1500 NORTH MANTUA STREET STREET 2: P O BOX 5193 CITY: KENT STATE: OH ZIP: 44240-5193 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: DAVEY TREE EXPERT CO CENTRAL INDEX KEY: 0000277638 STANDARD INDUSTRIAL CLASSIFICATION: AGRICULTURE SERVICES [0700] IRS NUMBER: 340176110 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1500 N MANTUA ST STREET 2: P O BOX 5193 CITY: KENT STATE: OH ZIP: 44240-5193 BUSINESS PHONE: 3306739511 MAIL ADDRESS: STREET 1: 1500 NORTH MANTUA STREET STREET 2: P O BOX 5193 CITY: KENT STATE: OH ZIP: 44240-5193 4 1 doc1.xml FORM 4 X0303 4 2003-12-05 0 0000277638 DAVEY TREE EXPERT CO NONE 0001247521 ADANTE DAVID E 1500 NORTH MANTUA STREET KENT OH 44240 0 1 0 0 Executive VP, CFO & Secretary Common Stock 2006-02-27 4 A 0 1552 0 A 155189 D Common Stock 2007-03-08 4 A 0 1288 0.00 A 155189 D Common Stock 2007-03-08 4 A 0 1552 0.00 A 155189 D Common Stock 2008-03-11 4 A 0 1552 0.00 A 155189 D Common Stock 2008-03-11 4 A 0 1552 0.00 A 155189 D Common Stock 2009-03-10 4 A 0 1534 0.00 A 155189 D Common Stock 2009-03-10 4 A 0 1552 0.00 A 155189 D Common Stock 2010-03-09 4 A 0 818 0.00 A 155189 D Common Stock 2010-03-09 4 A 0 1552 0 A 155189 D Common Stock 2010-05-03 4 S 0 423.3150 0 D 56187.3031 I By 401(k) Plan Common Stock 2011-03-09 4 A 0 876 0 A 155189 D Common Stock 2011-03-09 4 A 0 1552 0 A 155189 D Common Stock 56295.4246 I By 401(k) plan Incentive Stock Option (Right to Buy) 6.75 2003-12-05 4 A 0 50000 0.00 A 2004-12-05 2013-12-05 Common Stock 50000 50000 D Nonqualified Stock Option (Right to Buy) 11.25 2006-06-05 4 A 0 25000 0.00 A 2007-06-05 2016-06-05 Common Stock 25000 25000 D Stock Appreciation Rights (2009) 16.40 2009-03-10 4 A 0 6000 0.00 A 2010-03-10 2018-12-31 Common Stock 6000 6000 D Stock Appreciation Rights (2010) 16.60 2010-03-09 4 A 0 6000 0.00 A 2011-03-09 2019-12-31 Common Stock 6000 6000 D Stock Appreciation Rights (2011) 18.40 2011-03-09 4 A 0 6000 0.00 A 2012-03-09 2020-12-31 Common Stock 6000 6000 D Restricted stock units (RSUs) were granted pursuant to the Company's restricted stock unit program, are payable in common shares, became fully vested upon the fifth anniversary of the grant date (2/27/2011) and will be paid no later than March 15, 2012. 155,189 common shares are beneficially owned as of July 21, 2011. This total includes 253 common shares purchased under the terms of the Company's Employee Stock Purchase Plan, as of July 21, 2011, based on internal records. Upon the achievement of certain performance criteria, performance restricted stock units (PRSUs) were granted pursuant to the Company's performance restricted stock unit program, are payable in common shares, will be fully vested on the earlier of (a) the fifth anniversary of the grant date (the transaction date herein), (b) retirement (provided that the participant has attained the age of 55 years and has had at least five years of service with the Company), (c) total or permanent disability or death, or (d) certain events of termination, and will be paid no later than March 15 following the year in which the participant retires. Restricted stock units (RSUs) were granted pursuant to the Company's restricted stock unit program, are payable in common shares, will be fully vested upon the earlier of (a) the fifth anniversary of the respective grant date (the transaction date herein), (b) retirement (provided that the participant has attained the age of 55 years and has had at least five years of service with the Company), (c) total or permanent disability or death, or (d) certain events of termination, and will be paid no later than March 15 following the year in which the participant retires. Reflects routine accumulation of 56,295.4246 common shares acquired through the Company's 401(k) benefit plan, as of July 20, 2011, based on internal records. These options vest and become exercisable in five equal annual installments beginning on the first anniversary of the grant date. These stock appreciation rights become exercisable in five equal annual installments beginning on the first anniversary of the grant date. /s/David E. Adante 2011-07-21