SEC Form 4 · accession 0001179110-17-004090
AquaVenture Holdings Ltd · WAAS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lee S Muller
Officer — Chief Financial Officer
Period of report
Mar 4, 2017
Accepted (ET)
Mar 7, 2017 · 4:17 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001422841
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary Shares | holding | — | — | — | 8,080 | D | ||
| Ordinary Shares | holding | — | — | — | 70,000 | I | By Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restrict Share UnitsF1,F2 | — | Mar 4, 2017 | A | 18,192 | A | — | — | Ordinary Shares | 18,192 | 18,192 | D |
Explanation of responses
- F1Each Restricted Share Unit represents a contingent right to receive one Ordinary Share of the Company.
- F2The Restricted Share Units were issued pursuant to the Company's 2016 Share Option and Incentive Plan. One quarter of the Restricted Share Units shall vest on March 4, 2018, and the remaining 75% of such shares shall vest in equal quarterly installments over the following three (3) years.