SEC Info - Aulick Rodney - ‘4’ for 1/22/20 re: Evoqua Water Technologies Corp.

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

Aulick Rodney

(Last)

(First)

(Middle)

EVOQUA WATER TECHNOLOGIES CORP.

210 SIXTH AVENUE

(Street)

PITTSBURGH

15222

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
Evoqua Water Technologies Corp. [ AQUA ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Executive Vice President

3. Date of Earliest Transaction (Month/Day/Year)
1/22/20

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	1/22/20		M ⁽¹⁾		7,646	A	$4.64	89,941 ⁽²⁾	D
Common Stock	1/22/20		S ⁽¹⁾		7,646	D	$19.6429 ⁽³⁾	82,295 ⁽²⁾	D
Common Stock	1/24/20		M ⁽¹⁾		2,582	A	$4.64	84,877 ⁽²⁾	D
Common Stock	1/24/20		S ⁽¹⁾		2,582	D	$19.5688 ⁽⁴⁾	82,295 ⁽²⁾	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Stock Option (Right to Buy)	$4.64	1/22/20		M ⁽¹⁾			7,646	⁽⁵⁾	3/6/24	Common Stock	7,646	$0	513,913	D
Stock Option (Right to Buy)	$4.64	1/24/20		M ⁽¹⁾			2,582	⁽⁵⁾	3/6/24	Common Stock	2,582	$0	511,331	D

Explanation of Responses:

(1) This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2019.

(2) This amount includes 11,839 unvested restricted stock units in respect of the issuer's common stock. Subject to the reporting person's continued employment with the issuer through the applicable vesting date, these restricted stock units are scheduled to vest in equal installments on each of January 1, 2021, January 1, 2022 and January 1, 2023 and settle within 30 days of the applicable vesting date.

(3) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.50 to $19.84, 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 ranges set forth in footnotes 3, 4 and 5 to this Form 4.

(4) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.50 to $19.67, inclusive.

(5) This option is fully vested.

	/s/ John DiMascio, Attorney-in-Fact for Rodney Aulick	1/24/20
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.

____________ Transaction Codes:
M	Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
S	Open market or private sale of non-derivative or derivative security.

Aulick Rodney – ‘4’ for 1/22/20 re: Evoqua Water Technologies Corp.

On: Friday, 1/24/20, at 7:14pm ET · For: 1/22/20 · Accession #: 1567619-20-1528 · File #: 1-38272

Previous ‘4’: ‘4’ on 1/21/20 for 1/16/20 · Next: ‘4’ on 1/30/20 for 1/28/20 · Latest: ‘4’ on 3/5/24 for 3/1/24

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34
Filing Table of Contents

This ‘4’ Document is an XML Data File that may be rendered in various formats:

Aulick Rodney – ‘4’ for 1/22/20 re: Evoqua Water Technologies Corp.

On: Friday, 1/24/20, at 7:14pm ET · For: 1/22/20 · Accession #: 1567619-20-1528 · File #: 1-38272

Previous ‘4’: ‘4’ on 1/21/20 for 1/16/20 · Next: ‘4’ on 1/30/20 for 1/28/20 · Latest: ‘4’ on 3/5/24 for 3/1/24

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34Filing Table of Contents

This ‘4’ Document is an XML Data File that may be rendered in various formats:

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34
Filing Table of Contents