SEC Form 4 · accession 0001179110-17-005830
AquaVenture Holdings Ltd · WAAS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony Ibarguen
Officer — President · Director
Period of report
Apr 6, 2017
Accepted (ET)
Apr 6, 2017 · 4:38 pm EDT
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 | Apr 6, 2017 | J | 1,681 | $0.00 | A | 33,328 | D | |
| Ordinary SharesF2 | holding | — | — | — | 275 | I | By son | |
| Ordinary SharesF2 | holding | — | — | — | 275 | I | By son |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were received by the reporting person in his capacity as a constituent partner of Evergreen Investors LP, upon the pro rata distribution in-kind without consideration to the partners in accordance with the funds' limited partnership agreement. Such distribution was exempt from Section 16 of the Securities Exchange Act pursuant to Rule 16a-13.
- F2The reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein, if any.