SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF 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 |
|
1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 12/01/2021 | 3. Issuer Name and Ticker or Trading Symbol MAXIMUS, INC. [ MMS ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Beneficially Owned | |||
---|---|---|---|
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(1) | 4,681.529 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
---|---|---|---|---|---|---|---|
1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: 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 | ||||
Common Stock(1) | (2) | (2) | Common Stock | 494.879 | 63.62 | D | |
Common Stock(1) | (3) | (3) | Common Stock | 934.648 | 67.23 | D | |
Common Stock | (4) | (4) | Common Stock | 1,849.178 | 77.65 | D | |
Common Stock(1) | (5) | (5) | Common Stock | 10,778.456 | 70.79 | D | |
Common Stock(6) | 09/30/2023 | (7) | Common Stock | 92.892(8) | 72.31 | D |
Explanation of Responses: |
1. Each Restricted Stock Unit represents a contingent right to receive one share of common stock. |
2. Restricted Stock Units vest based upon the following schedule, subject to deferred vesting for a longer period at the election of individual, as permitted by the terms of the award: Shares Vest Date 494.879 09/30/2022 Expiration date not applicable to RSUs |
3. Restricted Stock Units vest based upon the following schedule, subject to deferred vesting for a longer period at the election of individual, as permitted by the terms of the award: Shares Vest Date 467.329 09/30/2022 467.319 09/30/2023 Expiration date not applicable to RSUs |
4. Restricted Stock Units vest based upon the following schedule, subject to deferred vesting for a longer period at the election of individual, as permitted by the terms of the award: Shares Vest Date 616.734 09/30/2022 616.734 09/30/2023 615.710 09/30/2024 Expiration date not applicable to RSUs |
5. Restricted Stock Units vest based upon the following schedule, subject to deferred vesting for a longer period at the election of individual, as permitted by the terms of the award: Shares Vest Date 3593.497 09/30/2022 3592.479 09/30/2023 3592.48 09/30/2024 Expiration date not applicable to RSUs |
6. Each Performance Restricted Stock Unit represents a contingent right to receive one share of common stock. |
7. Expiration date not applicable to Performance RSUs |
8. 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. |
David R. Francis: As Attorney-In-Fact for: David Mutryn | 12/01/2021 | |
** 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 Number. |