SEC Form 4 · accession 0001555667-15-000028
TerraVia Holdings, Inc. · TVIA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan S Wolfson
Officer — Chief Executive Officer · Director
Period of report
Mar 3, 2015
Accepted (ET)
Mar 5, 2015 · 6:02 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001311230
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 3, 2015 | A | 70,000 | $0.00 | A | 223,750 | D | |
| Common StockF2 | holding | — | — | — | 2,360,475 | I | By Trust | |
| Common StockF3 | holding | — | — | — | 8,751 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F4 | — | holding | — | — | — | — | — | Common Stock | 0 | 0 | D |
Explanation of responses
- F1The grant vests as to 1/4 of the shares on March 10, 2016 and thereafter vests as to 1/8 of the shares on each of September 15, 2016, March 9, 2017, September 14, 2017, March 8, 2018, September 14, 2018 and March 1, 2019.
- F2The Jonathan S. Wolfson Revocable Trust dated August 12, 2010.
- F3The Wolfson Revocable Trust dated August 12, 2010.
- F4Mr. Wolfson declined receipt of a one-year vesting option award granted to him by the Compensation Committee covering 66,217 shares as part of his 2014 bonus, citing the Company's overall 2014 performance in his refusal.