| Accession Number: | 0001604643-23-000038 |
| Date: | 2023-02-07 |
| Issuer: | EVOQUA WATER TECHNOLOGIES CORP. (AQUA) |
| Original Submission Date: |
AULICK RODNEY
EVOQUA WATER TECHNOLOGIES CORP.
210 SIXTH AVENUE
PITTSBURGH, PA 15222
| Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
|---|---|---|---|---|---|---|---|---|---|
| COMMON STOCK | 2023-02-07 | M | 6,494 | a | $12.67 | 133,495 | direct | ||
| COMMON STOCK | 2023-02-07 | S | 6,294 | d | $50.33 | 127,201 | direct | ||
| COMMON STOCK | 2023-02-07 | S | 200 | d | $51.25 | 127,001 | direct |
| Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| STOCK OPTION (RIGHT TO BUY) | 12.67 | 2023-02-07 | deemed execution date | M | 6,494 (d) | 2029-02-14 | common stock 6,494 | $12.67 | 19,480 | direct |
| ID | footnote |
|---|---|
| f1 | this transaction was effected pursuant to a rule 10b5-1 trading plan adopted by the reporting person on march 9, 2022. |
| f2 | the amount of these securities includes 33,558 unvested restricted stock units and earned performance share units that are not yet settled, in each case, in respect of the issuer's common stock. |
| f3 | the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $50.0000 to $50.7100, inclusive. the reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 3 and 4 to this form 4. |
| f4 | the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $51.1500 to $51.3500, inclusive. |
| f5 | this option is fully vested. |
