UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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 control number. |
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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Phantom Stock | Â (3) | Â (3) | Common Stock | 617.4509 (1) (3) | $ (3) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Barker Joel Scott 1725 SHEPHERD RD CHATTANOOGA, TN 37421 |
 |  |  Group President-Energy |  |
Robert Taylor, attorney in fact for Joel Scott Barker | 02/11/2019 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Reporting person was a Section 16 officer previously and then was not a Section 16 officer beginning in January 2018; however, due to a promotion at the end of January 2019 he became a Section 16 officer again. Shares entered are the shares he owned as of that date (and the date of this report) |
(2) | Shares held are RSUs that convert to shares of Common Stock on a on-for-one basis at a later date. |
(3) | Phantom shares are held in a SERP and are payable in cash following the reporting person's termination of employment from Astec. |