SEC Form 4 · accession 0001209191-16-153965
Smart Sand, Inc. · SND
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew R Speaker
Other
Period of report
Dec 6, 2016
Accepted (ET)
Dec 7, 2016 · 5:39 pm EST
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 | Dec 6, 2016 | X | 599,999 | $0.0045 | A | 1,455,741 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| COMMON STOCK WARRANT (RIGHT TO BUY)F1 | $0.0045 | Dec 6, 2016 | X | 599,999 | D | — | Sep 13, 2019 | COMMON STOCK | 599,999 | 0 | D |
Explanation of responses
- F1The warrant is exercisable on or after the date immediately following the 20th consecutive trading day on which the Issuer's common stock is actively traded on a national securities exchange and the aggregate market value of the common stock is at least $300 million for each of the 20 trading days.
Remarks
The Reporting Person is Co-Chairman of the Board of Directors of the Issuer.