SEC Form 4 · accession 0001179110-19-000209
AquaVenture Holdings Ltd · WAAS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony Ibarguen
Officer — President & CEO · Director
Period of report
Dec 31, 2018
Accepted (ET)
Jan 3, 2019 · 4:20 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 SharesF2 | Dec 31, 2018 | A | 649 | $13.08 | A | 36,103 | D | |
| Ordinary SharesF3 | holding | — | — | — | 275 | I | By Son | |
| Ordinary SharesF3 | holding | — | — | — | 275 | I | By Son |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person is voluntarily reporting the acquisition of shares of the issuer's ordinary shares pursuant to the 2016 Employee Stock Purchase Plan (the ESPP). This transaction is also exempt pursuant to Rule 16b-3(c).
- F2In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's ordinary shares on July 2, 2018.
- F3The reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein, if any.