SEC Form 4 · accession 0000899243-19-002673
AMERICOLD REALTY TRUST · COLD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey M Gault
Director
Period of report
Feb 1, 2019
Accepted (ET)
Feb 5, 2019 · 6:25 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 | Feb 1, 2019 | M | 166,958 | $9.81 | A | 190,310 | D | |
| Common Shares of Beneficial InterestF2 | Feb 1, 2019 | S | 166,958 | $29.0161 | D | 23,352 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF3,F4 | $9.81 | Feb 1, 2019 | M | 166,958 | D | — | Feb 1, 2022 | Common Shares of Beneficial Interest | 166,958 | 500,873 | D |
Explanation of responses
- F1The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 13, 2018.
- F2The price reported in Column 4 is a weighted average price. These common shares were sold in multiple transactions at prices ranging from $28.64 to $29.35, 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.
- F3On February 1, 2019, Mr. Gault made an exercise of 166,958 stock options and sold 166,958 common shares.
- F4Options to acquire common shares vested 20% each on February 1, 2013, 2014, 2015, 2016 and 2017.