SEC Form 4 · accession 0000899243-18-029073
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
Nov 13, 2018
Accepted (ET)
Nov 15, 2018 · 9:53 pm EST
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 | Nov 13, 2018 | S | 22,726 | $26.00 | D | 0 | D | |
| Common Shares of Beneficial Interest | Nov 14, 2018 | M | 15,000 | $9.81 | A | 15,000 | D | |
| Common Shares of Beneficial InterestF1 | Nov 14, 2018 | S | 15,000 | $26.5297 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF2,F3 | $9.81 | Nov 14, 2018 | M | 15,000 | D | — | Oct 30, 2023 | Common Shares of Beneficial Interest | 15,000 | 0 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These common shares were sold in multiple transactions at prices ranging from $26.50 to $26.61, inclusive. The reporting person undertakes to provide to Americold Realty Trust, any security holder of Americold Realty Trust, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of common shares sold at each separate price within the range set forth above.
- F2On November 14, 2018, Mr. Novosel made an exercise of 15,000 stock options and sold 15,000 common shares of beneficial interest.
- F3Options to acquire common shares vested 20% on October 30, 2014, 2015, 2016, 2017 and 2018.
Remarks
Chief Accounting Officer and Senior Vice President