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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 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 | ||||||||
Common Stock (1) | $ 72.31 | 11/18/2021 | A | 3,780.364 (2) | 09/30/2023 | (3) | Common Stock | 3,780.364 | $ 0 | 3,780.364 | D | ||||
Common Stock (4) | $ 81.30 | 11/22/2021 | A | 12,300 | (5) | (5) | Common Stock | 12,300 | $ 0 | 12,300 (6) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Nadeau Richard John C/O MAXIMUS, INC. ATTN: TREASURY DEPT 1891 METRO CENTER DRIVE RESTON, VA 20190 |
Chief Financial Officer |
David R. Francis: As Attorney-In-Fact for: Richard J. Nadeau | 11/22/2021 | |
**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) | Each Performance Restricted Stock Unit represents a contingent right to receive one share of common stock. |
(2) | The shares were received for no consideration upon the satisfaction of performance criteria for the first tranche of the performance-vested restricted stock units granted on November 23, 2020 and remain subject to vesting based on continued employment through September 30, 2023. |
(3) | Expiration date not applicable to Performance RSUs |
(4) | Each Restricted Stock Unit represents a contingent right to receive one share of common stock. |
(5) | Restricted Stock Units vest based upon the following schedule, subject to deferred vesting for a longer period of the election of the individual, as permitted by the terms of the award: Shares Vest Date 4100 09/30/2022 4100 09/30/2023 4100 09/30/2024 Expiration date not applicable to RSUs |
(6) | Reporting person also holds restricted stock units with respect to an additional 108,194.13 shares of common stock with varying vesting schedules. |