SEC Form 4
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
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
  
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*
Pike J Eric

(Last) (First) (Middle)
PIKE CORPORATION
100 PIKE WAY

(Street)
MOUNT AIRY NC 27030

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Pike Corp [ PIKE ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
Chairman, CEO and President
3. Date of Earliest Transaction (Month/Day/Year)
09/12/2014
4. If Amendment, Date of Original Filed (Month/Day/Year)
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. 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(1) 09/12/2014 M 343,746(2) A $6.51 781,005 D
Common Stock 09/12/2014 F 259,232(3) D $11.97 521,773 D
Common Stock 67,467 I See footnote(4)
Common Stock 1,549,253 I See footnote(5)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 $6.51 09/12/2014 M 343,746 (6) 10/21/2014 Common Stock 343,746 $0 0 D
Option to buy $14 (6) 07/27/2015 Common Stock 428,571 428,571 D
Option to buy $18.41 (6) 11/01/2016 Common Stock 27,159 27,159 D
Option to buy $14.25 (6) 10/01/2018 Common Stock 98,475 98,475 D
Option to buy $11.33 (6) 09/01/2019 Common Stock 112,917 112,917 D
Option to buy $9.61 (6) 03/01/2021 Common Stock 116,603 116,603 D
Restricted Stock Units $0 (7) (7) Common Stock 20,847 20,847 D
Option to Buy $9.22 (8) 03/01/2022 Common Stock 130,108 130,108 D
Restricted Stock Units $0 (9) (9) Common Stock 69,012 69,012 D
Explanation of Responses:
1. The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 21, 2011.
2. Represents shares delivered upon the exercise of employee stock options.
3. Represents shares withheld to pay the exercise price of the stock options and shares withheld to satisfy the reporting person's tax liability in connection with the exercise of the options.
4. These shares are owned directly by the Joe B./Anne A. Pike Generation Skipping Trust, of which Mr. Pike is a trustee. Mr. Pike expressly disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
5. These shares are owned directly by Takuan, LLC, an entity controlled by Mr. Pike.
6. All of these options are vested and exercisable.
7. These restricted stock units vest on February 1, 2015 and, pursuant to the terms of the grant, will be settled in cash.
8. 86,738 of these options are vested and exercisable and 43,370 of these options vest on March 1, 2015.
9. These restricted stock units vest in equal amounts on January 30 of each of 2015 and 2016 and, pursuant to the terms of the grant, will be settled in cash.
/s/ James R. Wyche by power of attorney for J. Eric Pike 09/16/2014
** 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.