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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (4) | 08/18/2011 | M | 107 | (5) | (5) | Common Stock | 107 | (4) | 3,790 | D | ||||
Restricted Stock Units | (4) | 03/15/2012 | M | 403 | (6) | (6) | Common Stock | 403 | (4) | 3,387 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
STOKES GARY A 5721 SE COLUMBIA WAY SUITE 200 VANCOUVER, WA 98661 |
President, Water Transmission |
Gary Stokes | 03/19/2012 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Represents shares acquired pursuant to vesting of Restricted Stock Units granted in 2008. |
(2) | Represents shares withheld by the issuer for payment of taxes incurred upon vesting event consistent with company policy. |
(3) | Represents shares acquired pursuant to vesting of Restricted Stock Units granted in 2009. |
(4) | Each Restricted Stock Unit represents a contingent right to receive one share of Northwest Pipe Company common stock. |
(5) | The Restricted Stock Units vest in installments as follows: 40% on August 18, 2009, 40% on August 18, 2010 and 20% on August 18, 2011. |
(6) | The Restricted Stock Units vest in 3 equal installments on March 15, 2010, March 15, 2011 and March 15, 2012. |