James J. Jeter - May 13, 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.
Stock symbol
RBA
Transactions as of
May 13, 2021
Transactions value $
-$526,015
Form type
4
Date filed
5/17/2021, 10:46 AM
Next filing
May 26, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RBA Common Shares Options Exercise $383K +11.9K $32.16 11.9K May 13, 2021 Direct
transaction RBA Common Shares Options Exercise $347K +8.54K $40.64 8.54K May 13, 2021 Direct
transaction RBA Common Shares Sale -$1.26M -20.5K -100% $61.42 0 May 13, 2021 Direct
holding RBA Common Shares 1.46K May 13, 2021 Employee Stock Purchase Plan F1
holding RBA Common Shares 25.4K May 13, 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 -11.9K -100% $0.00* 0 May 13, 2021 Common Shares 11.9K $32.16 Direct F2
transaction RBA Employee Stock Option (Right to Buy) Options Exercise $0 -8.54K -33.34% $0.00 17.1K May 13, 2021 Common Shares 8.54K $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.