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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 | ||||||||
Stock Option (Right to Buy) | $ 59.4 | 11/03/2015 | A(3) | 3,600 | (4) | 06/12/2017 | Common Stock | 3,600 | $ 0 | 3,600 | D | ||||
Stock Option (Right to Buy) | $ 17.96 | 11/03/2015 | A(3) | 8,505 | (4) | 02/28/2017 | Common Stock | 8,505 | $ 0 | 8,505 | D | ||||
Stock Option (Right to Buy) | $ 18.01 | 11/03/2015 | A(3) | 15,480 | (4) | 03/04/2018 | Common Stock | 15,480 | $ 0 | 15,480 | D | ||||
Stock Option (Right to Buy) | $ 11.33 | 11/03/2015 | A(3) | 22,522 | (4) | 03/04/2019 | Common Stock | 22,522 | $ 0 | 22,522 | D | ||||
Stock Option (Right to Buy) | $ 19.76 | 11/03/2015 | A(3) | 14,970 | (5) | 03/04/2020 | Common Stock | 14,970 | $ 0 | 14,970 | D | ||||
Stock Option (Right to Buy) | $ 32.5 | 11/03/2015 | A(3) | 9,615 | (6) | 03/04/2021 | Common Stock | 9,615 | $ 0 | 9,615 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SCHLANGER DANIEL K 4444 BRITTMOORE RD HOUSTON, TX 77041 |
Senior Vice President |
Valerie L. Banner, Attorney-in-fact | 11/05/2015 | |
**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) | Acquired in connection with the spin-off of the Issuer from Exterran Holdings, Inc. (renamed Archrock, Inc.) ("Archrock") on November 3, 2015, a portion of which is restricted and continues to be subject to the original vesting requirements applicable to the Reporting Person's Archrock restricted stock, as described in the Reporting Person's Form 4 filings with respect to ownership of securities of Archrock. |
(2) | This award represents a restricted stock grant under the 2015 Exterran Corporation Stock Incentive Plan that will fully vest on 11/3/2016, subject to continued employment through the date of vesting. |
(3) | Represents options acquired in connection with the spin-off of the Issuer from Archrock on November 3, 2015. |
(4) | This option is fully exercisable. |
(5) | Two-thirds of this option is currently exercisable. The remaining one-third becomes exercisable on March 4, 2016. |
(6) | One-third of this option is currently exercisable. The remaining two-thirds becomes exercisable on March 4, 2016 and March 4, 2017. |