Statement of Changes in Beneficial Ownership (4)
November 20 2020 - 5:08PM
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).
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
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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
*
BATRACK DAN L |
2. Issuer Name and Ticker or Trading Symbol
TETRA TECH INC
[
TTEK
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) CHAIRMAN AND CEO |
(Last)
(First)
(Middle)
3475 EAST FOOTHILL BOULEVARD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/18/2020 |
(Street)
PASADENA,, CA 91107
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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COMMON STOCK | 11/18/2020 | | M | | 43463 | A | $47.95 | 265870 | D | |
COMMON STOCK | 11/18/2020 | | M | | 15649 | A | $40.80 | 281519 | D | |
COMMON STOCK | 11/18/2020 | | S | | 59112 | D | $123.7636 (1) | 222407 | D | |
COMMON STOCK | 11/18/2020 | | M | | 5308 | A | $0 (2) | 227715 | D | |
COMMON STOCK | 11/18/2020 | | M | | 4277 | A | $0 (2) | 231992 | D | |
COMMON STOCK | 11/18/2020 | | A | | 71428 | A | $0 (3) | 303420 | D | |
COMMON STOCK | 11/18/2020 | | F | | 48695 | D | $122 (4) | 254725 | 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. 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 |
STOCK OPTION (RIGHT TO BUY) | $47.95 | 11/18/2020 | | M | | | 43463 | 11/17/2018 (5) | 11/17/2027 (6) | COMMON STOCK | 43463.0 | $0 | 14487 | D | |
STOCK OPTION (RIGHT TO BUY) | $40.8 | 11/18/2020 | | M | | | 15649 | 11/18/2017 (5) | 11/18/2026 (6) | COMMON STOCK | 15649.0 | $0 | 0 | D | |
RESTRICTED STOCK UNITS (RIGHT TO RECEIVE) | $0.0 | 11/18/2020 | | M | | | 5308 | 11/18/2019 (7) | 11/18/2022 | COMMON STOCK | 5308.0 | $0 | 10616 | D | |
RESTRICTED STOCK UNITS (RIGHT TO RECEIVE) | $0.0 | 11/18/2020 | | M | | | 4277 | 11/18/2020 (8) | 11/21/2023 | COMMON STOCK | 4277.0 | $0 | 12828 | D | |
RESTRICTED STOCK UNITS (RIGHT TO RECEIVE) | $0.0 | 11/19/2020 | | A | | 13115 | | 11/18/2021 (9) | 11/19/2024 | COMMON STOCK | 13115.0 | $0 | 13115 | D | |
Explanation of Responses: |
(1) | $123.7636 is an average price. Shares were sold at prices ranging from $121.91 to $127.03 per share. |
(2) | Shares automatically acquired upon the vesting of restricted stock units (RSUs). |
(3) | Shares acquired pursuant to vesting of performance stock units (PSUs) earned under 2015 Equity Incentive Plan. |
(4) | Represents the combined number of shares withheld to pay the related tax liability on a total of 71,428 performance stock units (PSUs) and 18,776 restricted stock units (RSUs) which vested on 11/18/2020. |
(5) | The option becomes exercisable as to 25% of the shares on each anniversary of the grant date. |
(6) | The option granted expires 10 years after the grant date. |
(7) | The RSUs become vested as to 25% of the shares on November 18, 2019, and the anniversary of that date going forward until fully vested. |
(8) | The RSUs become vested as to 25% of the shares on November 18, 2020, and the anniversary of that date going forward until fully vested. |
(9) | The RSUs become vested as to 25% of the shares on November 18, 2021, and the anniversary of that date going forward until fully vested. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
BATRACK DAN L 3475 EAST FOOTHILL BOULEVARD PASADENA,, CA 91107 | X |
| CHAIRMAN AND CEO |
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Signatures
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/s/ Preston Hopson, Attorney-in-fact for Dan L. Batrack | | 11/20/2020 |
**Signature of Reporting Person | Date |
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