SEC Form 4 · accession 0000899243-18-001878
Nine Energy Service, Inc. · NINE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Clinton Roeder
Officer — See Remarks
Period of report
Jan 23, 2018
Accepted (ET)
Jan 25, 2018 · 4:16 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001532286
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 23, 2018 | A | 13,043 | $23.00 | A | 13,043 | D | |
| Common StockF2 | Jan 23, 2018 | A | 26,087 | $0.00 | A | 39,130 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F3 | $23.00 | Jan 23, 2018 | A | 32,103 | A | — | Jan 23, 2028 | Common Stock | 32,103 | 32,103 | D |
Explanation of responses
- F1Purchased in a private transaction with the Issuer pursuant to the terms of the reporting person's employment agreement and a related subscription agreement, as summarized in the Registration Statement on Form S-1 filed by the Issuer on January 9, 2018.
- F2These shares of restricted stock will vest in three equal annual installments on the first three anniversaries of the grant date.
- F3These stock options will vest and become exercisable in three equal annual installments on the first three anniversaries of the grant date.
Remarks
Senior Vice President and Chief Financial Officer