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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

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 1/24/20  Aulick Rodney                     4                      1:11K  Evoqua Water Technologies Corp.   Broadridge Fin’l… Inc/FA

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

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML      3K 
                Securities by an Insider -- doc1.xml/3.6


        

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

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
Plain Text rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 
                                                                                                                                                                                
Ownership Document
 
Schema Version:  X0306
Document Type:  4
Period of Report:  1/22/20
Not Subject to Section 16:  0
Issuer:
Issuer CIK:  1604643
Issuer Name:  Evoqua Water Technologies Corp.
Issuer Trading Symbol:  AQUA
Reporting Owner:
Reporting Owner ID:
Owner CIK:  1720147
Owner Name:  Aulick Rodney
Reporting Owner Address:
Owner Street 1:  EVOQUA WATER TECHNOLOGIES CORP.
Owner Street 2:  210 SIXTH AVENUE
Owner City:  PITTSBURGH
Owner State:  PA
Owner ZIP Code:  15222
Owner State Description:
Reporting Owner Relationship:
Is Director?  No
Is Officer?  Yes
Is Ten Percent Owner?  No
Is Other?  No
Officer Title:  Executive Vice President
Other Text:
Non-Derivative Table:
Non-Derivative Transaction:
Security Title:
Value:  Common Stock
Transaction Date:
Value:  1/22/20
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  M
Equity Swap Involved?  No
Footnote ID:  F1
Transaction Amounts:
Transaction Shares:
Value:  7,646
Transaction Price Per Share:
Value:  4.64
Transaction Acquired-Disposed Code:
Value:  A
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  89,941
Footnote ID:  F2
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Transaction:
Security Title:
Value:  Common Stock
Transaction Date:
Value:  1/22/20
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  S
Equity Swap Involved?  No
Footnote ID:  F1
Transaction Amounts:
Transaction Shares:
Value:  7,646
Transaction Price Per Share:
Value:  19.6429
Footnote ID:  F3
Transaction Acquired-Disposed Code:
Value:  D
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  82,295
Footnote ID:  F2
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Transaction:
Security Title:
Value:  Common Stock
Transaction Date:
Value:  1/24/20
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  M
Equity Swap Involved?  No
Footnote ID:  F1
Transaction Amounts:
Transaction Shares:
Value:  2,582
Transaction Price Per Share:
Value:  4.64
Transaction Acquired-Disposed Code:
Value:  A
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  84,877
Footnote ID:  F2
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Transaction:
Security Title:
Value:  Common Stock
Transaction Date:
Value:  1/24/20
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  S
Equity Swap Involved?  No
Footnote ID:  F1
Transaction Amounts:
Transaction Shares:
Value:  2,582
Transaction Price Per Share:
Value:  19.5688
Footnote ID:  F4
Transaction Acquired-Disposed Code:
Value:  D
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  82,295
Footnote ID:  F2
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Table:
Derivative Transaction:
Security Title:
Value:  Stock Option (Right to Buy)
Conversion or Exercise Price:
Value:  4.64
Transaction Date:
Value:  1/22/20
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  M
Equity Swap Involved?  No
Footnote ID:  F1
Transaction Amounts:
Transaction Shares:
Value:  7,646
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Footnote ID:  F5
Expiration Date:
Value:  3/6/24
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  7,646
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  513,913
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Transaction:
Security Title:
Value:  Stock Option (Right to Buy)
Conversion or Exercise Price:
Value:  4.64
Transaction Date:
Value:  1/24/20
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  M
Equity Swap Involved?  No
Footnote ID:  F1
Transaction Amounts:
Transaction Shares:
Value:  2,582
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Footnote ID:  F5
Expiration Date:
Value:  3/6/24
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  2,582
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  511,331
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Footnotes:
Footnote - F1:  This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2019.
Footnote - F2:  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.
Footnote - F3:  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.
Footnote - F4:  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.
Footnote - F5:  This option is fully vested.
Owner Signature:
Signature Name:  /s/ John DiMascio, Attorney-in-Fact for Rodney Aulick
Signature Date:  1/24/20


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Filing Submission 0001567619-20-001528   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
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