SEC Form 4 · accession 0000899243-19-000303
Nuverra Environmental Solutions, Inc. · NES
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles K. Thompson
Officer — See Remarks · Director
Period of report
Dec 31, 2018
Accepted (ET)
Jan 3, 2019 · 4:46 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001403853
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Dec 31, 2018 | A | 210,000 | A | — | — | Common Stock | 210,000 | 210,000 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Nuverra Environmental Solutions, Inc. common stock.
- F2The restricted stock units will vest on December 31, 2020, subject to potential acceleration or forfeiture upon the occurrence of certain conditions as set forth in the Nuverra Environmental Solutions, Inc. 2017 Long Term Incentive Plan and applicable grant documentation.
Remarks
Chief Executive Officer, Director and Chairman of the Board