SEC Form 4 · accession 0000899243-18-022477
AMERICOLD REALTY TRUST · COLD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas C Novosel
Officer — See Remarks
Period of report
Aug 13, 2018
Accepted (ET)
Aug 15, 2018 · 5:39 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001455863
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Shares of Beneficial Interest | Aug 13, 2018 | M | 70,000 | $9.81 | A | 70,000 | D | |
| Common Shares of Beneficial Interest | Aug 13, 2018 | F | 47,274 | $22.98 | D | 22,726 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF1,F2 | $9.81 | Aug 13, 2018 | M | 60,000 | D | — | Oct 30, 2023 | Common Shares of Beneficial Interest | 60,000 | 15,000 | D |
| Stock OptionF1,F3 | $9.81 | Aug 13, 2018 | M | 10,000 | D | — | Mar 22, 2026 | Common Shares of Beneficial Interest | 10,000 | 15,000 | D |
Explanation of responses
- F1On August 13, 2018, Mr. Novosel made a net exercise of 70,000 stock options, resulting in his acquisition of 22,726 common shares of Americold Realty Trust.
- F2Options to acquire common shares vested 20% on October 30, 2014, 2015, 2016 and 2017 and remainder vest on October 30, 2018.
- F3Options to acquire common shares vested 20% on March 22, 2017 and 2018 and remainder vest ratably on March 22, 2019, 2020 and 2021.
Remarks
Chief Accounting Officer and Senior Vice President