Statement of Changes in Beneficial Ownership (4)
18 Februar 2022 - 10:42PM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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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 * Thode
Eric W |
2. Issuer Name and Ticker or Trading
Symbol Archrock, Inc. [ AROC ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
SR VICE PRESIDENT |
(Last)
(First)
(Middle)
9807 KATY FREEWAY, SUITE 100 |
3. Date of Earliest Transaction (MM/DD/YYYY)
2/17/2022
|
(Street)
HOUSTON, TX 77024
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
2/17/2022 |
|
M(1) |
|
14266 |
A |
$0 |
155751 |
D |
|
Common Stock |
2/17/2022 |
|
F(2) |
|
3474 |
D |
$8.60 |
152277 |
D |
|
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
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 Stock Unit |
(1) |
2/17/2022 |
|
A |
|
14266 |
|
(1) |
(1) |
Common Stock |
14266 |
$0 |
14266 |
D |
|
Restricted Stock Unit |
(1) |
2/17/2022 |
|
M |
|
|
14266 |
(1) |
(1) |
Common Stock |
14266 |
$0 |
0 |
D |
|
Explanation of
Responses: |
(1) |
Represents an award of
performance based restricted stock units, the payout of which was
subject to the achievement of total shareholder return relative to
the Issuer's peers over the period of January 1, 2019 to December
31, 2021. The award was scheduled to cliff vest on January 25,
2022, following the three year performance period. However, vesting
was subject to the Compensation Committee's determination of
performance. On February 17, 2022, the Compensation Committee
certified that the performance achievement over the measurement
period was 168% of target and authorized the vesting of the award.
The restricted stock units converted into shares of common stock on
a one-for-one basis. |
(2) |
Issuer withheld the maximum
allowable shares to satisfy the tax withholding obligations
associated with the acquisition and vesting of shares acquired as
reported in this Table I. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Thode Eric W
9807 KATY FREEWAY
SUITE 100
HOUSTON, TX 77024 |
|
|
SR VICE PRESIDENT |
|
Signatures
|
/s/ Susan G. Thompson,
Attorney-in-Fact |
|
2/18/2022 |
**Signature of Reporting
Person |
Date |
Reminder: Report on a separate line for each class
of securities beneficially owned directly or
indirectly. |
* |
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). |
Note: |
File three copies of this Form, one of
which must be manually signed. If space is insufficient, see
Instruction 6 for procedure. |
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. |
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