0001247546-17-000010.txt : 20171017 0001247546-17-000010.hdr.sgml : 20171017 20171017150556 ACCESSION NUMBER: 0001247546-17-000010 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171013 FILED AS OF DATE: 20171017 DATE AS OF CHANGE: 20171017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WARNKE KARL J CENTRAL INDEX KEY: 0001247546 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-11917 FILM NUMBER: 171140615 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 wf-form4_150826714185878.xml FORM 4 X0306 4 2017-10-13 0 0000277638 DAVEY TREE EXPERT CO NONE 0001247546 WARNKE KARL J 1500 NORTH MANTUA STREET KENT OH 44240 1 0 0 0 Common Stock 2017-10-13 4 S 1 21399 18.30 D 484845 I By Karl J. Warnke Trust Common Stock 2017-10-13 4 M 0 12000 11.60 A 496845 I By Karl J. Warnke Trust Common Stock 2017-10-13 4 M 0 10000 13.20 A 506845 I By Karl J. Warnke Trust Common Stock 2017-10-13 4 M 0 8000 15.05 A 514845 I By Karl J. Warnke Trust Common Stock 2017-10-13 4 M 0 24000 8.20 A 538845 I By Karl J. Warnke Trust Common Stock 2017-10-13 4 M 0 24000 8.30 A 562845 I By Karl J. Warnke Trust Common Stock 2017-10-13 4 M 0 24000 9.20 A 586845 I By Karl J. Warnke Trust Common Stock 2017-10-13 4 M 0 24000 9.85 A 610845 I By Karl J. Warnke Trust Common Stock 2017-10-13 4 M 0 65380 11.60 A 676225 I By Karl J. Warnke Trust Common Stock 2017-10-13 4 M 0 68600 13.20 A 744825 I By Karl J. Warnke Trust Common Stock 2017-10-13 4 M 0 68600 15.05 A 813425 I By Karl J. Warnke Trust Common Stock 2017-10-13 4 M 0 68600 16.35 A 882025 I By Karl J. Warnke Trust Common Stock 2017-10-13 4 M 0 34400 17.60 A 916425 I By Karl J. Warnke Trust Common Stock 2017-10-13 4 D 0 288339 18.30 D 628086 I By Karl J. Warnke Trust Common Stock 2017-10-13 4 F 0 56167 18.30 D 571919 I By Karl J. Warnke Trust Common Stock 2017-10-13 4 F 0 17132 18.30 D 70274 I PRSUs Common Stock 2017-10-13 4 D 0 12003 18.30 D 58271 I PRSUs Common Stock 2017-10-13 4 G 0 12003 0 A 583922 I By Karl J. Warnke Trust Common Stock 289930 I By Barbara R. Warnke Trust Common Stock 97726.4489 I By 401(k) Plan Non-Qualified Stock Option (Right to Buy) 11.6 2017-10-13 4 M 0 12000 0 D 2014-06-24 2023-06-24 Common Stock 12000.0 0 D Non-Qualified Stock Option (Right to Buy) 13.2 2017-10-13 4 M 0 10000 0 D 2015-06-30 2024-06-30 Common Stock 10000.0 0 D Non-Qualified Stock Option (Right to Buy) 15.05 2017-10-13 4 M 0 8000 0 D 2016-06-29 2025-06-29 Common Stock 8000.0 0 D Stock Appreciation Rights (2009) 8.2 2017-10-13 4 M 0 24000 0 D 2010-03-10 2018-12-31 Common Stock 24000.0 0 D Stock Appreciation Rights (2010) 8.3 2017-10-13 4 M 0 24000 0 D 2011-03-09 2019-12-31 Common Stock 24000.0 0 D Stock Appreciation Rights (2011) 9.2 2017-10-13 4 M 0 24000 0 D 2012-03-09 2020-12-31 Common Stock 24000.0 0 D Stock Appreciation Rights (2012) 9.85 2017-10-13 4 M 0 24000 0 D 2013-03-07 2021-12-31 Common Stock 24000.0 0 D Stock Appreciation Rights (2013) 11.6 2017-10-13 4 M 0 65380 0 D 2014-03-07 2022-12-31 Common Stock 65380.0 0 D Stock Appreciation Rights (2014) 13.2 2017-10-13 4 M 0 68600 0 D 2015-03-07 2023-12-31 Common Stock 68600.0 0 D Stock Appreciation Rights (2015) 15.05 2017-10-13 4 M 0 68600 0 D 2016-03-06 2024-12-31 Common Stock 68600.0 0 D Stock Appreciation Rights (2016) 16.35 2017-10-13 4 M 0 68600 0 D 2017-03-04 2025-12-31 Common Stock 68600.0 0 D Stock Appreciation Rights (2017) 17.6 2017-10-13 4 M 0 34400 0 D 2018-03-10 2026-12-31 Common Stock 34400.0 0 D Shares surrendered in connection with the exercise of Non-Qualified Stock Option shares. All share totals and prices reflect a 2-for-1 stock split effective June 1, 2017. Exercise of SARs. Payment of taxes in connection with SARs pay-out. Payment of taxes related to PRSU and RSU distribution. Represents PRSU and RSUs. Distribution of PRSU and RSU shares. This total reflects routine accumulation of 97,726.4489 common shares acquired through the Company's 401(K) benefit plan as of October 13, 2017, based on internal records. These shares vested and became fully exercisable upon Mr. Warnke's retirement. Exercise of SARs which became fully vested upon Mr. Warnke's retirement. /s/Karl J. Warnke/Christopher J. Bast, by Power of Attorney 2017-10-17