SEC Form 4/A · accession 0001209191-17-060684
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
Timothy Pawlenty
Director
Period of report
Nov 9, 2017
Accepted (ET)
Nov 14, 2017 · 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 STOCKF1,F3 | Nov 9, 2017 | S | 20,000 | $8.0016 | D | 32,892 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The Form 4, as originally filed, incorrectly reported that the shares were withheld for tax purposes. The Form 4, as amended by this Form 4/A, currently reports that the shares were sold pursuant to a Rule 10b5-1 trading plan.
- F2Represents shares sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.000 to $8.025, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.