Statement of Changes in Beneficial Ownership (4)
February 26 2021 - 4:30PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
MITTELSTAEDT RONALD J |
2. Issuer Name and Ticker or Trading Symbol
Waste Connections, Inc.
[
WCN
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Executive Chairman |
(Last)
(First)
(Middle)
3 WATERWAY SQUARE PLACE, SUITE 110 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/24/2021 |
(Street)
THE WOODLANDS, TX 77380
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
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. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. 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)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Shares | 2/24/2021 | | M | | 6220.00 | A | $0.00 | 182247.00 | D | |
Common Shares | 2/24/2021 | | F(1) | | 2151.00 | D | $98.63 | 180096.00 | D | |
Common Shares | 2/24/2021 | | J(2) | | 15528.00 | A | $0.00 | 195624.00 | D | |
Common Shares | 2/24/2021 | | F(1) | | 7334.00 | D | $98.63 | 188290.00 | D | |
Common Shares | 2/24/2021 | | J(2) | | 3622.00 | A | $0.00 | 191912.00 | D | |
Common Shares | 2/24/2021 | | F(1) | | 1711.00 | D | $98.63 | 190201.00 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Share Units | $0.00 | 2/24/2021 | | M | | | 6220.00 | (3) | (3) | Common Shares | 6220.00 | $0.00 | 0.00 | D | |
Restricted Share Units | $0.00 | 2/24/2021 | | J | | | 15528.00 | (4) | (4) | Common Shares | 15528.00 (2) | $0.00 | 46585.00 | D | |
Restricted Share Units | $0.00 | 2/24/2021 | | J | | | 3622.00 | (5) | (5) | Common Shares | 3622.00 (2) | $0.00 | 10864.00 | D | |
Explanation of Responses: |
(1) | Represents shares withheld by the Issuer in satisfaction of the applicable withholding taxes due in connection with the vesting of restricted share units and delivery of the converted common shares. |
(2) | Represents the conversion of restricted share units into common shares of the Issuer. These restricted share units were previously vested and deferred under the Issuer's Deferred Compensation Plan. They are scheduled to be distributed pursuant to a multi-year installment method election as a result of the participant's transition from Chief Executive Officer of the Issuer to its Executive Chairman. The distribution represents the first of five distributions elected by the participant. |
(3) | Represents the conversion upon vesting of restricted share units into common shares of the Issuer. The performance-based restricted share unit award was granted on February 24, 2017 and contained a performance target that was achieved by the Issuer over the one fiscal year period that ended December 31, 2017. As a result, the award shall vest 25% per year over the four-year period following the date of grant. The common shares are reported on Table I. |
(4) | The deferred restricted share unit award was granted on 2/11/2010 and vested 25% per year over the four-year period following the date of grant. |
(5) | The deferred restricted share unit award was granted on 2/25/2013 and vested 25% per year over the four-year period following the date of grant. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
MITTELSTAEDT RONALD J 3 WATERWAY SQUARE PLACE SUITE 110 THE WOODLANDS, TX 77380 | X |
| Executive Chairman |
|
Signatures
|
Ronald Mittelstaedt | | 2/26/2021 |
**Signature of Reporting Person | Date |
Waste Connections (NYSE:WCN)
Historical Stock Chart
From Mar 2024 to Apr 2024
Waste Connections (NYSE:WCN)
Historical Stock Chart
From Apr 2023 to Apr 2024