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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 | ||||||||
| Incentive Restricted Stock Units (1) | (2) | 07/01/2013 | M | 392 | (3) | (3) | Common stock | 392 | $ 0 | 392 | D | ||||
| Restricted stock unit (1) | (4) | 07/01/2013 | M | 1,120 | (5) | (5) | Common stock | 1,120 | $ 0 | 1,118 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Johnson Wallace H C/O US CONCRETE, INC. 331 N. MAIN ST. EULESS, TX 76039 |
VP - Marketing & Sales | |||
| /s/ Lisa Sutter, as Attorney-in-Fact for Wallace H. Johnson | 10/03/2013 | |
| **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) | This amendment is being filed to correct an administrative error on the original Form 4, where there was a conversion of a derivative security to common stock and the derivative security was reported as acquired rather than disposed of. The footnotes associated with the lines that are being corrected have been renumbered from the numbers used in the original Form 4 in order to consecutively disclose narrative information on this amendment, although the substance of the information remains the same and the appropriate disposition of the derivative security remains the same. |
| (2) | Each IRSU was granted under the Company's Management Equity Incentive Plan. Each IRSU represents the right to receive 0.35020 share of common stock of the Company upon satisfaction of the performance goal. The number 392 reported here reflects the result of multiplying the awardee's vested IRSUs by .3502. |
| (3) | The underlying RSUs and the IRSUs time vest as to one-twelfth (1/12) of the shares subject thereto on each of the first twelve (12) quarterly anniversaries of October 1, 2010. The performance goal for the IRSUs must have been satisfied by August 31, 2015 or the IRSUs would have automatically forfeited. |
| (4) | Each restricted stock unit represents the right to receive one share of common stock of the company. |
| (5) | The restricted stock units vest as to one-twelfth (1/12) of the shares subject thereto on each of the first twelve (12) quarterly anniversaries of October 1, 2010. |