Herve Fages - Mar 8, 2022 Form 4 Insider Report for Evoqua Water Technologies Corp. (AQUA)

Role
Executive Vice President
Signature
/s/ John DiMascio, Attorney-in-Fact for Herve Fages
Stock symbol
AQUA
Transactions as of
Mar 8, 2022
Transactions value $
-$2,299,290
Form type
4
Date filed
3/10/2022, 03:30 PM
Previous filing
Mar 2, 2022
Next filing
Mar 17, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AQUA Common Stock Options Exercise $172K +12.4K +29.97% $13.91 53.7K Mar 8, 2022 Direct F1, F2
transaction AQUA Common Stock Sale -$532K -12.4K -23.06% $43.00 41.3K Mar 8, 2022 Direct F1, F2, F3
transaction AQUA Common Stock Options Exercise $283K +20.3K +49.25% $13.91 61.7K Mar 9, 2022 Direct F1, F2
transaction AQUA Common Stock Options Exercise $488K +20.6K +33.48% $23.63 82.3K Mar 9, 2022 Direct F1, F2
transaction AQUA Common Stock Sale -$1.58M -36.7K -44.6% $43.00 45.6K Mar 9, 2022 Direct F1, F2
transaction AQUA Common Stock Sale -$188K -4.28K -9.39% $44.00 41.3K Mar 9, 2022 Direct F1, F2

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 AQUA Stock Option (Right to Buy) Options Exercise -$172K -12.4K -20.72% $13.91 47.4K Mar 8, 2022 Common Stock 12.4K $13.91 Direct F1, F4
transaction AQUA Stock Option (Right to Buy) Options Exercise -$283K -20.3K -42.95% $13.91 27K Mar 9, 2022 Common Stock 20.3K $13.91 Direct F1, F4
transaction AQUA Stock Option (Right to Buy) Options Exercise -$488K -20.6K -50% $23.63 20.6K Mar 9, 2022 Common Stock 20.6K $23.63 Direct F1, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 3, 2022.
F2 The amount of these securities includes 34,076 unvested restricted stock units in respect of the issuer's common stock.
F3 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.0000 to $43.0100, inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F4 This option vests in four equal installments, three of which occurred on each of March 1, 2020, March 1, 2021, and March 1, 2022, and one of which will occur on March 1, 2023, subject to the reporting person's continued employment with the issuer through such date.
F5 This option vests in four equal installments, two of which occurred on each of January 1, 2021 and January 1, 2022, and two of which will occur on January 1, 2023 and January 1, 2024, subject to the reporting person's continued employment with the issuer through such dates.