FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 07/11/2014 |
3. Issuer Name and Ticker or Trading Symbol
DAVEY TREE EXPERT CO [ NONE ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) 03/25/2013 |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 7,901 | D | |
Common Stock | 1,336.9488(1) | I | By 401(k) Plan |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Nonqualified Stock Option (Right to Buy)(2) | 11/02/2010 | 11/02/2019 | Common Stock | 2,000 | $16 | D | |
Nonqualified Stock Option (Right to Buy)(2) | 11/01/2011 | 11/01/2020 | Common Stock | 5,000 | $16.6 | D | |
Stock Appreciation Rights (2009)(3) | 03/10/2010 | 12/31/2018 | Common Stock | 1,000 | $16.4 | D | |
Stock Appreciation Rights (2010)(3) | 03/09/2011 | 12/31/2019 | Common Stock | 2,000 | $16.6 | D | |
Stock Appreciation Rights (2011)(3) | 03/09/2012 | 12/31/2020 | Common Stock | 2,000 | $18.4 | D | |
Stock Appreciation Rights (2012)(3) | 03/07/2013 | 12/31/2021 | Common Stock | 2,000 | $19.7 | D | |
Stock Appreciation Rights (2013)(3) | 03/07/2014 | 12/31/2022 | Common Stock | 2,000 | $23.2 | D | |
Stock Subscription Rights (Right to Buy)(4)(5) | 08/01/2012 | 07/31/2019 | Common Stock | 1,608 | $19.7 | D |
Explanation of Responses: |
1. This total reflects routine accumulation of 1,336.9488 common shares acquired through the Company's 401(k) benefit plan as of March 15, 2013, based on internal records. |
2. These options vest and become exercisable in five equal annual installments beginning on the first anniversary of the grant date. |
3. These stock appreciation rights become exercisable in five equal annual installments beginning on the first anniversary of the grant date. |
4. This Form 3/A amends the reporting person's Form 3 filed on March 25, 2013, to include stock subscription rights that were inadvertently omitted. |
5. The reported stock subscription rights to purchase shares of the Company's common stock were acquired in the Company's stock subscription offering to employees and non-employee directors in accordance with the provisions of The Davey Tree Expert Company 2004 Omnibus Stock Plan (the "Plan"). All participants in the offering purchasing in excess of $5,000 of common stock were granted a "right" to purchase one additional share of common stock, at a price of $19.70 per share, for every three shares of common stock purchased under the Plan. Each "right" may be exercised at the rate of 1/7 per year beginning on August 1, 2012 and will expire on July 31, 2019. |
Remarks: |
/s/Brent R. Repenning/Christopher J. Bast, by Power of Attorney | 07/11/2014 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |