JAMES J. JETER - 13 May 2021 Form 4 Insider Report for RITCHIE BROS AUCTIONEERS INC (RBA)

Role
President, Sales U.S.
Signature
/s/ Maria Teresa Punsalan as attorney-in-fact for James J. Jeter.
Issuer symbol
RBA
Transactions as of
13 May 2021
Net transactions value
-$526,015
Form type
4
Filing time
17 May 2021, 10:46:28 UTC
Next filing
26 May 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RBA Common Shares Options Exercise $383,251 +11,917 $32.16 11,917 13 May 2021 Direct
transaction RBA Common Shares Options Exercise $346,984 +8,538 $40.64 8,538 13 May 2021 Direct
transaction RBA Common Shares Sale $1,256,250 -20,455 -100% $61.42 0 13 May 2021 Direct
holding RBA Common Shares 1,456 13 May 2021 Employee Stock Purchase Plan F1
holding RBA Common Shares 25,373 13 May 2021 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction RBA Employee Stock Option (Right to Buy) Options Exercise $0 -11,917 -100% $0.000000* 0 13 May 2021 Common Shares 11,917 $32.16 Direct F2
transaction RBA Employee Stock Option (Right to Buy) Options Exercise $0 -8,538 -33% $0.000000 17,072 13 May 2021 Common Shares 8,538 $40.64 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes all Employee Stock Purchase Plan purchases through May 13, 2021.
F2 The option was granted on March 1, 2018 and vests equally in three equal annual installments beginning February 28, 2019.
F3 The option was granted on March 5, 2020 and vests equally in three equal annual installments beginning March 4, 2021.