SEC Form 4 · accession 0001245105-17-000050
Ecoark Holdings, Inc. · ZEST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jay T. Oliphant
Officer — Corporate Controller,PFO & PAO
Period of report
Mar 21, 2017
Accepted (ET)
Mar 23, 2017 · 7:08 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001437491
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 21, 2017 | A | 163,750 | $0.00 | A | 195,625 | D | |
| Common Stock | holding | — | — | — | 6,250 | I | By IRA |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants | $5.00 | holding | — | — | — | Apr 26, 2016 | Dec 31, 2018 | Common Stock | 6,250 | 6,250 | I |
Explanation of responses
- F1Subject to the reporting person's continued employment, 10% of these shares will vest on June 15, 2017, and the remaining 90% will vest ratably on the 15th of each month thereafter (beginning July 15, 2017) until fully vested. The final vesting will occur on December 15, 2018.