SEC Form 4/A · accession 0000899243-17-010758
Smart Sand, Inc. · SND
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Jose Enrique Feliciano
Director · 10% Owner
Period of report
Mar 30, 2017
Accepted (ET)
Apr 21, 2017 · 6:45 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001529628
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.001 per shareF1,F2,F3,F4 | Mar 30, 2017 | A | 4,997 | $0.00 | A | 10,816,094 | I | See footnote |
| Common Stock, par value $0.001 per shareF2,F5,F4 | Mar 30, 2017 | A | 4,997 | $0.00 | A | 4,997 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares are held of record by Colin Leonard for the benefit of Clearlake Capital Partners II (Master), L.P. ("CCPII"), of which Mr. Feliciano is co-manager of the managing member of the ultimate general partner.
- F2Represents shares of restricted stock granted pursuant to Smart Sand, Inc.'s 2016 Long-Term Incentive Plan, which vest on the first anniversary of March 30, 2017, the date of grant. The original Form 4 filed on April 3, 2017 incorrectly stated that the vesting period of the restricted stock was four years. No other information has been amended by this Form 4/A.
- F3The shares are owned of record as follows: (i) 10,811,097 shares by CCPII and (ii) 4,997 shares by Mr. Leonard for the benefit of CCPII. CCPII's general partner is Clearlake Capital Partners II GP, L.P. ("CCPII GP"). CCPII GP's general partner is Clearlake Capital Partners, LLC ("CCP"). CCP's managing member is CCG Operations, LLC. ("CCG Ops"). Mr. Feliciano and Behdad Eghbali are managers of CCG Ops. As a result, each of Mr. Feliciano, Mr. Eghbali, CCG Ops, CCPII GP and CCP may be deemed to share beneficial ownership of the reported shares.
- F4Mr. Feliciano expressly disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein.
- F5The shares are held of record by Mr. Feliciano for the benefit of CCPII.