Statement of Changes in Beneficial Ownership (4)
November 17 2020 - 5:14PM
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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3235-0287
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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
*
JETER JAMES J |
2. Issuer Name and Ticker or Trading Symbol
RITCHIE BROS AUCTIONEERS INC
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RBA
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President, Sales U.S. |
(Last)
(First)
(Middle)
C/O RITCHIE BROS. AUCTIONEERS INC., 9500 GLENLYON PARKWAY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/15/2020 |
(Street)
BURNABY, A1 V5J 0C6
(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 Shares | | | | | | | | 1873 (1) | I | Employee Stock Purchase Plan |
Common Shares | 11/15/2020 | | M | | 42888 (2) | A | (3) | 42888 | D | |
Common Shares | 11/15/2020 | | M | | 2631 (2) | A | (3) | 45519 | D | |
Common Shares | 11/15/2020 | | F | | 20529 (4) | D | $66.56 | 24990 | D | |
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 |
Restricted Share Units (2017 RSUs) | (3) | 11/15/2020 | | M | | | 42888 | (3) | (3) | Common Shares | 42888 | $0.00 | 0 | D | |
Dividend Equivalent Rights (2017 RSUs) | (3) | 11/15/2020 | | M | | | 2631 | (3) | (3) | Common Shares | 2631 | $0.00 | 0 | D | |
Explanation of Responses: |
(1) | Includes all Employee Stock Purchase Plan purchases through November 17, 2020. |
(2) | Represents pre-tax amount of award. Share issuance will be made net of tax withholding ("TW"). |
(3) | Each RSU and DER represented a contingent right to receive one RBA common share or the economic equivalent thereof. The RSUs and DERs vested on November 15, 2020, the RSUs and DERs will be settled in common shares issued to the reporting person, net applicable tax. |
(4) | Tax Withholding on the 2017 RSUs and DERs that vested on November 15, 2020. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
JETER JAMES J C/O RITCHIE BROS. AUCTIONEERS INC. 9500 GLENLYON PARKWAY BURNABY, A1 V5J 0C6 |
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| President, Sales U.S. |
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Signatures
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/a/ Maria Teresa Punsalan as attorney-in-fact for James J. Jeter. | | 11/17/2020 |
**Signature of Reporting Person | Date |
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