Sec Form 4 Filing - Warfel John E. @ DAVEY TREE EXPERT CO - 2009-03-10

Insider filing report for Changes in Beneficial Ownership
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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
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Warfel John E.
2. Issuer Name and Ticker or Trading Symbol
DAVEY TREE EXPERT CO [ NONE]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
1500 NORTH MANTUA STREET, PO BOX 5193
3. Date of Earliest Transaction (MM/DD/YY)
03/10/2009
(Street)
KENT, OH44240-5193
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 06/05/2019 M 395 ( 1 ) A $ 0 25,903 D
Common Stock 06/05/2019 M 666 ( 2 ) A $ 8.2 26,569 D
Common Stock 06/05/2019 M 259 ( 2 ) D $ 0 26,310 D
Common Stock 06/05/2019 M 6,000 ( 2 ) A $ 8.3 32,310 D
Common Stock 06/05/2019 M 2,360 ( 2 ) D $ 0 29,950 D
Common Stock 06/05/2019 M 6,000 ( 2 ) A $ 9.2 35,950 D
Common Stock 06/05/2019 M 2,616 ( 2 ) D $ 0 33,334 D
Common Stock 06/05/2019 M 6,000 ( 2 ) A $ 9.85 39,334 D
Common Stock 06/05/2019 M 2,801 ( 2 ) D $ 0 36,533 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Phantom Stock ( 1 ) 06/05/2019 M 395.735 ( 1 ) ( 1 ) Common Stock 395.735 $ 0 0 D
Stock Appreciation Rights (2009) ( 3 ) $ 8.2 03/10/2009 A 666 03/10/2010 03/10/2019 Common Stock 666 $ 0 666 D
Stock Appreciation Rights (2010) ( 3 ) $ 8.3 03/09/2010 A 6,000 03/09/2011 03/09/2020 Common Stock 6,000 $ 0 6,000 D
Stock Appreciation Rights (2011) ( 3 ) $ 9.2 03/09/2011 A 6,000 03/09/2012 03/09/2021 Common Stock 6,000 $ 0 6,000 D
Stock Appreciation Rights (2012) ( 3 ) $ 9.85 03/07/2012 A 6,000 03/07/2013 03/07/2022 Common Stock 6,000 $ 0 6,000 D
Stock Appreciation Rights (2009) $ 8.2 03/10/2009 M 666 03/10/2010 03/10/2019 Common Stock 666 $ 0 0 D
Stock Appreciation Rights (2010) $ 8.3 03/10/2009 M 6,000 03/09/2011 03/09/2020 Common Stock 6,000 $ 0 0 D
Stock Appreciation Rights (2011) $ 9.2 03/10/2009 M 6,000 03/09/2012 03/09/2021 Common Stock 6,000 $ 0 0 D
Stock Appreciation Rights (2012) $ 9.85 03/10/2009 M 6,000 03/07/2013 03/07/2022 Common Stock 6,000 $ 0 0 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Warfel John E.
1500 NORTH MANTUA STREET
PO BOX 5193
KENT, OH44240-5193
X
Signatures
/s/John E.Warfel/Christopher J. Bast, By Power of Attorney 06/06/2019
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Each unit of phantom stock is the economic equivalent of one share of common stock. These units of phantom stock become payable, in cash, upon the reporting person's termination of services as a director. Fractional shares paid in cash.
( 2 )Exercise of SARs.
( 3 )These stock appreciation rights become exercisable in five equal annual installments beginning on the first anniversary of the grant 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 4(b)(v).
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