SEC Form 4 · accession 0000899243-18-009690
Nine Energy Service, Inc. · NINE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David C Baldwin
Director
Period of report
Apr 4, 2018
Accepted (ET)
Apr 6, 2018 · 6:25 pm EDT
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 StockF1 | Apr 4, 2018 | A | 3,846 | $0.00 | A | 3,846 | D | |
| Common StockF2,F3 | holding | — | — | — | 9,086,888 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares of restricted stock will vest on April 4, 2019 (the first anniversary of the grant date).
- F2Reflects adjustment for the Issuer's 8.0256-for-1 common stock split that became effective January 23, 2018, in connection with the Issuer's initial public offering.
- F3Represents 7,528,518 shares of common stock, $0.01 par value per share ("Common Stock"), of the Issuer directly owned by SCF-VII, L.P. and 1,558,370 shares of Common Stock directly owned by SCF-VII(A), L.P. L.E. Simmons & Associates, Incorporated ("LESA") is the sole general partner of each of (a) SCF-VII, G.P., Limited Partnership, which is the sole general partner of SCF-VII, L.P., and (b) SCF-VII(A), G.P., Limited Partnership, which is the sole general partner of SCF-VII(A), L.P. Mr. Baldwin serves as Co-President of LESA. As such, Mr. Baldwin may be deemed to have dispositive power over the shares of Common Stock directly owned by SCF-VII, L.P. and SCF-VII(A), L.P. Mr. Baldwin disclaims beneficial ownership of such shares.