Initial Statement of Beneficial Ownership (3)
09 Junio 2023 - 4:53PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
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TAYLOR CRAIG J. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
5/31/2023
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3. Issuer Name and Ticker or Trading Symbol
ADVANCED DRAINAGE SYSTEMS, INC. [WMS]
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(Last)
(First)
(Middle)
C/O ADVANCED DRAINAGE SYSTEMS, INC., 4640 TRUEMAN BOULEVARD |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Executive Vice President / |
(Street)
HILLIARD, OH 43026
(City)
(State)
(Zip)
| 5. 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
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 4612 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Option to Purchase Common Stock | (1) | 2/3/2030 | Common Stock | 1684 | $41.85 | D | |
Option to Purchase Common Stock | (2) | 5/19/2030 | Common Stock | 2556 | $41.97 | D | |
Option to Purchase Common Stock | (3) | 5/19/2031 | Common Stock | 1002 | $105.82 | D | |
Option to Purchase Common Stock | (4) | 5/18/2032 | Common Stock | 1299 | $99.29 | D | |
Option to Purchase Common Stock | (5) | 5/22/2033 | Common Stock | 3188 | $96.51 | D | |
Explanation of Responses: |
(1) | The options vest in three equal annual installments beginning on February 3, 2021, provided that the Reporting Person remains continuously employed by the Issuer through each applicable vesting date. |
(2) | The options vest in three equal annual installments beginning on May 19, 2021, provided that the Reporting Person remains continuously employed by the Issuer through each applicable vesting date. |
(3) | The options vest in three equal annual installments beginning on May 18, 2022, provided that the Reporting Person remains continuously employed by the Issuer through each applicable vesting date. |
(4) | The options vest in three equal annual installments beginning on May 17, 2023, provided that the Reporting Person remains continuously employed by the Issuer through each applicable vesting date. |
(5) | The options vest in three equal annual installments beginning on May 21, 2024, provided that the Reporting Person remains continuously employed by the Issuer through each applicable vesting date. |
Remarks: See Exhibit 24, Power of Attorney, for potential future use on behalf of the Reporting Person. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
TAYLOR CRAIG J. C/O ADVANCED DRAINAGE SYSTEMS, INC. 4640 TRUEMAN BOULEVARD HILLIARD, OH 43026 |
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| Executive Vice President |
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Signatures
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/s/ Craig J. Taylor | | 6/9/2023 |
**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 5(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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