| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Pike Corp [ PIKE ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 01/30/2014 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction 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 | 01/30/2014 | M | 11,185(1) | A | $0 | 59,399 | D | |||
| Common Stock | 01/30/2014 | F | 4,030(2) | D | $10.54 | 55,369 | D | |||
| Common Stock | 02/01/2014 | M | 6,655(1) | A | $0 | 62,024 | D | |||
| Common Stock | 02/01/2014 | F | 2,178(2) | D | $10.5 | 59,846 | D | |||
| Common Stock | 02/02/2014 | M | 6,240(1) | A | $0 | 66,086 | D | |||
| Common Stock | 02/02/2014 | F | 2,069(2) | D | $10.5 | 64,017 | D | |||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 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 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: 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 | ||||||||
| Option to buy | $18.18 | (3) | 08/01/2016 | Common Stock | 30,000 | 30,000 | D | ||||||||
| Option to buy | $18.41 | (3) | 11/01/2016 | Common Stock | 30,000 | 30,000 | D | ||||||||
| Option to buy | $18.41 | (3) | 11/01/2016 | Common Stock | 10,000 | 10,000 | D | ||||||||
| Option to buy | $16.16 | (3) | 05/01/2018 | Common Stock | 20,000 | 20,000 | D | ||||||||
| Option to buy | $14.25 | (3) | 10/01/2018 | Common Stock | 25,031 | 25,031 | D | ||||||||
| Option to buy | $11.33 | (3) | 09/01/2019 | Common Stock | 34,044 | 34,044 | D | ||||||||
| Option to buy | $7.27 | (3) | 10/01/2020 | Common Stock | 12,500 | 12,500 | D | ||||||||
| Restricted Stock Units | $0 | 02/02/2014 | M | 6,240 | (4) | (4) | Common Stock | 6,240 | $0 | 0 | D | ||||
| Option to buy | $9.61 | (5) | 03/01/2021 | Common Stock | 37,225 | 37,225 | D | ||||||||
| Restricted Stock Units | $0 | 02/01/2014 | M | 6,655 | (6) | (6) | Common Stock | 6,655 | $0 | 6,655 | D | ||||
| Option to Buy | $9.22 | (7) | 03/01/2022 | Common Stock | 41,534 | 41,534 | D | ||||||||
| Restricted Stock Units | $0 | 01/30/2014 | M | 11,185 | (8) | (8) | Common Stock | 11,185 | $0 | 22,371 | D | ||||
| Explanation of Responses: |
| 1. Represents shares of common stock delivered upon the vesting of restricted stock units. |
| 2. Represents shares of common stock withheld to pay taxes upon the vesting of restricted stock units. |
| 3. All of these options are vested and exercisable. |
| 4. These restricted stock units vested on February 2, 2014. |
| 5. 24,816 of these options are vested and exercisable and 12,409 of the options vest on March 1, 2014. |
| 6. The remaining restricted stock units vest on February 1, 2015. |
| 7. 13,844 of these options are vested and exercisable and 27,690 of these options vest in equal amounts on March 1 of each of 2014 and 2015. |
| 8. The remaining restricted stock units vest in equal amounts on January 30 of each of 2015 and 2016. |
| /s/ James R. Wyche by power of attorney for Anthony K. Slater | 02/03/2014 | |
| ** 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 Number. | ||