Statement of Changes in Beneficial Ownership (4)
March 12 2021 - 6:37PM
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
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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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1. Name and Address of Reporting Person
*
WARZALA RICHARD S |
2. Issuer Name and Ticker or Trading Symbol
ALLIED MOTION TECHNOLOGIES INC
[
AMOT
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Executive Officer |
(Last)
(First)
(Middle)
ALLIED MOTION TECHNOLOGIES INC., 495 COMMERCE DRIVE, SUITE 3 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/10/2021 |
(Street)
AMHERST, NY 14228
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 3/10/2021 | | A | | 7727 | A | (1) | 973908 | D | |
Common Stock | 3/10/2021 | | A | | 7727 | A | (2) | 981635 | D | |
Common Stock | 3/10/2021 | | A | | 12679 | A | (3) | 994314 | D | |
Common Stock | 3/11/2021 | | F | | 1743 | D | (4) | 992571 | D | |
Common Stock | | | | | | | | 16321 | I | By ESOP Trust |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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 |
Explanation of Responses: |
(1) | Grant of time-based restricted shares pursuant to the Company's 2017 Omnibus Incentive Plan. These restricted shares vest one-third each on April 1, 2022, 2023 and 2024. |
(2) | Grant of performance-based restricted shares pursuant to the Company's 2017 Omnibus Incentive Plan. All or a portion of these restricted shares will vest over a three-year period upon the satisfaction of certain performance goals established by the Compensation Committe for the year ending December 31, 2021. |
(3) | Grant of performance-based restricted shares as long-term incentive pursuant to the Company's 2017 Omnibus Incentive Plan. All or a portion of this long-term incentive award will vest over a three-year or five-year period upon the satisfaction of certain performance goals established by the Compensation Committee for any year during the period ending December 31, 2022. |
(4) | On the indicated date, the Reporting Person instructed the Company to withhold shares of common stock to cover tax withholding obligations upon the vesting of restricted stock as permitted under the applicable shareholder-approved stock incentive plan. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
WARZALA RICHARD S ALLIED MOTION TECHNOLOGIES INC. 495 COMMERCE DRIVE, SUITE 3 AMHERST, NY 14228 | X | X | Chief Executive Officer |
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Signatures
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Michael C. Donlon, Attorney-in-Fact for Richard S. Warzala | | 3/12/2021 |
**Signature of Reporting Person | Date |
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